(navigation image)
Home American Libraries | Canadian Libraries | Universal Library | Community Texts | Project Gutenberg | Children's Library | Biodiversity Heritage Library | Additional Collections
Search: Advanced Search
Anonymous User (login or join us)
Upload
See other formats

Full text of "North Carolina Register v.8 no. 18 (12/15/1993)"

JR/KPKJ/ 743-4- /.A2/ NG1 



-? Index Tabic (o 



DEC 1 6 (993 

KATHRTNE a EVERETT 
LAW UB RAPv 

NORTH CAROLINA 



bk 



REGISTER 



IN TfflS ISSUE 




EXECUTIVE ORDERS 

IN ADDITION 

Voting Rights Act 
Wildlife Resources 

PROPOSED RULES 
Administration 
Chiropractic Examiners 
Commerce 

Environment, Health, and Natural Resources 
Human Resources 
Labor 

Practicing Psychologists 
Secretary of State 
Social Work, Certification Board 
State Treasurer 

RRC OBJECTIONS 

RULES INVALIDATED BY JUDICIAL DECISION 

CONTESTED CASE DECISIONS 

ISSUE DATE: December 15, 1993 

Volume 8 • Issue 18 • Pages 1720 - 1849 



INFORMATION ABOUT THE NORTH CAROLINA REGISTER AND ADMINISTRATIVE CODE 



NORTH CAROLINA REGISTER 



The North Carolina Register is published twice a month and 
contains information relating to agency, executive, legislative and 
judicial actions required by or affecting Chapter 150B of the 
General Statutes. All proposed administrative rules and notices of 
public hearings filed under G.S. 150B-21.2 must be published in 
the Register. The Register will typically comprise approximately 
fifty pages per issue of legal text. 

State law requires that a copy of each issue be provided free of 
charge to each county in the state and to various state officials and 
institutions. 

The North Carolina Register is available by yearly subscription 
at a cost of one hundred and five dollars (S105.00) for 24 issues. 
Individual issues may be purchased for eight dollars (S8.00). 

Requests for subscription to the North Carolina Register should 
be directed to the Office of Administrative Hearings, 
P. 0. Drawer 27447, Raleigh, N. C. 2761 1-7447. 



TEMPORARY' RULES 

Under certain emergency conditions, agencies may issue 
temporarv rules. Within 24 hours of submission to OAH, the 
Codifier of Rules must review the agency's written statement of 
findings of need for the temporary rule pursuant to the provisions in 
G.S. 150B-21.1. If the Codifier determines that the findings meet 
the criteria in G.S. 150B-21.1, the rule is entered into the NCAC. If 
the Codifier determines that the findings do not meet the criteria, 
the rule is returned to the agency. The agency may supplement its 
findings and resubmit the temporary rule for an additional review 
or the agency may respond that it will remain with its initial 
position. The Codifier, thereafter, will enter the rule into the 
NCAC. A temporary rule becomes effective either when the 
Codifier of Rules enters the rule in the Code or on the sixth 
business day after the agency resubmits the rule without change. 
The temporary rule is in effect for the period specified in the rule or 
180 days, whichever is less. An agency adopting a temporary rule 
must begin rule-making procedures on the permanent rule at the 
same time the temporary rule is filed with the Codifier. 



ADOPTION AMENDMENT, AND REPEAL OF 
RULES 



NORTH CAROLINA ADMINISTRATIVE CODE 



The following is a generalized statement of the procedures to be 
followed for an agency to adopt, amend, or repeal a rule. For the 
specific statutory authority, please consult Article 2A of Chapter 
150B of the General Statutes. 

Any agency intending to adopt, amend, or repeal a rule must 
first publish notice of the proposed action in the North Carolina 
Register. The notice must include the time and place of the public 
hearing (or instructions on how a member of the public may request 
a hearing); a statement of procedure for public comments; the text 
of the proposed rule or the statement of subject matter; the reason 
for the proposed action; a reference to the statutory authority for the 
action and the proposed effective date. 

Unless a specific statute provides otherwise, at least 15 days 
must elapse following publication of the notice in the North 
Carolina Register before the agency may conduct the public 
hearing and at least 30 days must elapse before the agency can take 
action on the proposed rule. An agency may not adopt a rule that 
differs substantially from the proposed form published as part of 
the public notice, until the adopted version has been published in 
the North Carolina Register for an additional 30 day comment 
period. 

When final action is taken, the promulgating agency must file 
the rule with the Rules Review Commission (RRC). After approval 
by RRC, the adopted rule is filed with the Office of Administrative 
Hearings (OAH). 

A rule or amended rule generally becomes effective 5 business 
days after the rule is filed with the Office of Administrative 
Hearings for publication in the North Carolina Administrative Code 
(NCAC). 

Proposed action on rules may be withdrawn by the promulgating 
agency at any time before final action is taken by the agency or 
before filing with OAH for publication in the NCAC. 



The North Carolina Administrative Code (NCAC) is a 
compilation and index of the administrative rules of 25 state 
agencies and 38 occupational licensing boards. The NCAC 
comprises approximately 15,000 letter size, single spaced pages of 
material of which approximately 35% of is changed annually. 
Compilation and publication of the NCAC is mandated by G.S. 
150B-21.18. 

The Code is divided into Titles and Chapters. Each state agency 
is assigned a separate title which is further broken down by 
chapters. Title 21 is designated for occupational licensing boards. 

The NCAC is available in two formats. 

(1) Single pages may be obtained at a minimum cost of 
two dollars and 50 cents (S2.50) for 10 pages or less, 
plus fifteen cents (SO. 15) per each additional page. 

(2) The full publication consists of 53 volumes, totaling in 
excess of 15,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the 
full publication including supplements can be 
purchased for seven hundred and fifty dollars 
(S750.00). Individual volumes may also be purchased 
with supplement service. Renewal subscriptions for 
supplements to the initial publication are available. 

Requests for pages of rules or volumes of the NCAC should be 
directed to the Office of Administrative Hearings. 



CITATION TO THE NORTH CAROLINA 
REGISTER^ 

The North Carolina Register is cited by volume, issue, page 
number and date. 1:1 NCR 101-201, April 1, 1986 refers to 
Volume 1. Issue 1, pages 101 through 201 of the North Carolina 
Register issued on April 1, 1986. 



FOR INFORMATION CONTACT: Office of 
Administrative Hearings, ATTN: Rules Division, P.O. 
Drawer 27447, Raleigh, North Carolina 27611-7447, (919) 
733-2678. 



NORTH 
CAROLINA 
REGISTER 




Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, North Carolina 27611-7447 

(919) 733-2678 



Julian Mann III, 

Director 
James R. Scarcella Sr. , 

Deputy Director 
Molly Masich, 

Director ofAPA Services 



Staff: 

Ruby Creech, 

Publications Coordinator 
Teresa Kilpatrick, 

Editorial Assistant 
Jean Shirley, 

Editorial Assistant 

This publication is printed on permanent, 
acid-free paper in compliance with 
G.S. 125-11.13. 



ISSUE CONTENTS 



I. EXECUTIVE ORDERS 

Executive Orders 1730 

II. IN ADDITION 

Voting Rights Act 1722 

Wildlife Resources 1723 

III. PROPOSED RULES 
Administration 

Auxiliary Services 1724 

Commerce 
Credit Union Division 1724 

Environment, Health, and 
Natural Resources 
Environmental Management .... 1748 

Health Services 1782 

Wildlife Resources 1773 

Human Resources 

Facility Services 1725 

Medical Assistance 1742 

Social Services 1743 

Labor 
OSHA 1744 

Licensing Boards 

Chiropractic Examiners 1806 

Practicing Psychologists 1807 

Social Work, Certification Board . 1808 

Secretary of State 
Land Records Management .... 1792 

State Treasurer 
Local Government Commission . . 1795 

IV. RRC OBJECTIONS 1814 

V. RULES EWALIDATED BY 

JUDICIAL DECISION 1819 

VI. CONTESTED CASE DECISIONS 

Index to ALI Decisions 1820 

Text of Selected Decisions 

92 DST 1776 1829 

93 DHR 0343 1832 

93 OSP 0438 1838 

VII. CUMULATIVE INDEX 1847 



NORTH CAROLINA REGISTER 

Publication Schedule 
(July 1993 - Max 1994) 



Volume 
and 
Issue 

Number 


Issue 
Date 


Last Day 

for 

Filing 


Last Day 
for Elec- 
tronic 
Filmg 


Earliest 

Date for 

Public 

Hearing 

15 days 

from 

notice 


* End of 

Required 

Comment 

Period 

30 days 

from 

notice 


Last Day 

to Submit 

to RRC 


** Earliest 

Effective 

Date 


8:7 


07/01/93 


06/10/93 


06/17/93 


07/16/93 


08/02/93 


08/20/93 


10/01/93 


8:8 


07/15/93 


06/23/93 


06/30/93 


07/30/93 


08/16/93 


08/20/93 


10/01/93 


8:9 


08/02/93 


07/12/93 


07/19/93 


08/17/93 


09/01/93 


09/20/93 


11/01/93 


8:10 


08/16/93 


07/26/93 


08/02/93 


08/31/93 


09/15/93 


09/20/93 


11/01/93 


8:11 


09/01/93 


08/11/93 


08/18/93 


09/16/93 


10/01/93 


10/20/93 


12/01/93 


8:12 


09/15/93 


08/24/93 


08/31/93 


09/30/93 


10/15/93 


10/20/93 


12/01/93 


8:13 


10/01/93 


09/10/93 


09/17/93 


10/18/93 


11/01/93 


11/22/93 


01/01/94 


8:14 


10/15/93 


09/24/93 


10/01/93 


11/01/93 


11/15/93 


11/22/93 


01/01/94 


8:15 


11/01/93 


10/11 '93 


10/18/93 


11/16/93 


12/01/93 


12/20/93 


02/01/94 


8:16 


11 15 93 


10/22/93 


10/29/93 


11/30/93 


12/15/93 


12/20/93 


02/01/94 


8:17 


12/01/93 


11/05/93 


11/15/93 


12/16/93 


01/03/94 


01/20/94 


03/01/94 


8:18 


12/15/93 


11/24/93 


12/01/93 


12/30/93 


01/14/94 


01/20/94 


03/01/94 


8:19 


01/03''94 


12/08/93 


12/15/93 


01/18/94 


02/02/94 


02/21/94 


04/01/94 


8:20 


01/14/94 


12/21 ; 93 


12/30/93 


01/31/94 


02/14/94 


02/21/94 


04/01/94 


8:21 


02/01/94 


01/10/94 


01/18/94 


02/16/94 


03/03/94 


03/21/94 


05/01/94 


8:22 


02/15/94 


01/25/94 


02/10/94 


03/02/94 


03/17/94 


03/21/94 


05/01/94 


8:23 


03/01/94 


02/08/94 


02/15/94 


03/16/94 


03/31/94 


04/20/94 


06/01/94 


8:24 


03/15/94 


02/22/94 


03/10/94 


03/30/94 


04/14/94 


04/20/94 


06/01/94 


9:1 


04/04/94 


03/11/94 


03/18/94 


04/19/94 


05/04/94 


05/20/94 


07/01/94 


9:2 


04/15/94 


03/24/94 


03/31/94 


05/02/94 


05/16/94 


05/20/94 


07/01/94 


9:3 


05/02/94 


04/11/94 


04/18/94 


05/17/94 


06/01/94 


06/20/94 


08/01/94 


9:4 


05/16 '94 


04/25/94 


05/02/94 


05/31/94 


06/15/94 


06/20/94 


08/01/94 



c 



a 



Xote: Time is computed according to the Rules of Civil Procedure, Rule 6. 

* An agency must accept comments for at least 30 days after the proposed text is published or until the date 
of any public hearing, whichever is longer. See G.S. 150B-21. 2(f) for adoption procedures. 



* The "Earliest Effective Date" is computed assuming that the agency follows the publication schedule above, 
that the Rules Re\iew Commission approves the rule at the next calendar month meeting after submission, and 
that RRC delivers the ride to the Codifier of Rules five (5) business days before the 1st business day of the next 
calendar month. 



i 



Revised 07/93 



EXECUTIVE ORDERS 



EXECUTIVE ORDER NUMBER 33 

PERSIAN GULF WAR MEMORIAL 

COMMISSION 

By the authority vested in me as Governor by the 
Constitution and laws of the State of North Caroli- 
na, IT IS ORDERED: 

Section L Establishment and Membership. 

There is hereby established the Persian Gulf War 
Memorial Commission whose membership shall 
consist of: 

1 . Two members of families who lost rela- 
tives in the Persian Gulf War. 

2. One member from the North Carolina 
Veterans' Affairs Commission. 

3. One at-large member. 

4. The Secretary of the Department of 
Cultural Resources or her designee. 

5. The Secretary of the Department of 
Administration or her designee. 

6. The Secretary of the Department of 
Crime Control and Public Safety or his 
designee. 

From among the membership, the Governor shall 
appoint a chair. The Commission shall meet at the 
call of the chair. 

Section 2. Purpose. 

The purpose of the Commission is to study the 
feasibility of the construction of a Persian Gulf 
War Memorial, including the areas of design, site 
selection, and funding. The chair periodically 
shall advise the Governor as to the progress of the 
Commission. 

Section 3. Administration. 

Administrative support for the Commission shall 
be provided by the Department of Administration. 
There shall be no per diem paid to members of the 
Commission; however, necessary travel and 
subsistence allowance may be paid in accordance 
with state law. 

Section 4. Rescission. 

Executive Orders 152, 160, and 167 of the 
Martin Administration are hereby rescinded. This 
is the successor organization to that Committee. 
All of the Committee's files, records, etc., shall be 
transferred to the Commission created herein. 

This executive order shall be effective immedi- 
ately. 

Done in the Capital City of Raleigh, North 



Carolina, this the 10 day of November, 1993. 

EXECUTIVE ORDER NUMBER 34 
HIGHWAY SAFETY COMMISSION 

By the authority vested in me as Governor by the 
Constitution and laws of the State of North Caroli- 
na, IT IS ORDERED: 

Section 1. Establishment. 



The Highway Safety Commission ("Commis- 
sion") is hereby established. The Commission 
shall be composed of fifteen members appointed by 
the Governor. Eight members shall serve two-year 
initial terms and seven members shall serve four- 
year initial terms. Thereafter, all terms shall be 
for four years. The Governor shall designate one 
of the members as Chair, who shall serve at his 
pleasure. 

Section 2. Meetings. 

The Commission shall meet regularly at the call 
of the Chair and may hold special meetings at the 
call of the Chair, the Governor, or the Secretary 
of Transportation. 

Section 3- Administration and Expenses. 

Members of the Commission shall be reimbursed 
for necessary travel and subsistence expenses as 
authorized by state law. Funds for reimbursement 
of such expenses shall be made available from the 
Governor's Highway Safety Program. The Pro- 
gram will also provide administrative and staff 
support services to the Commission. 

Section 4. Duties. 

The Commission shall have the following duties: 

(a) Establish statewide highway safety goals 
and objectives. 

(b) Review proposed highway safety legisla- 
tion. 

(c) Monitor the operations of North 
Carolina's Highway Safety Management 
System . 

(d) Collect, analyze, and distribute 
information related to highway safety. 

(e) Survey public opinion, attitudes, and 
ideas on highway safety. 

(f) Establish innovative highway safety 
programs and activities. 

(g) Advise the Governor on ways to promote 
highway safety in North Carolina. 

Section 5. Rescission. 



Martin Administration Executive Order 12, as 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1720 



EXECUTIVE ORDERS 



amended, is hereby rescinded. All records of the 
Governor's Highway Safety Commission created 
pursuant to said Executive Order, are transferred 
to the Commission created herein, which shall be 
the successor to that Highway Safety Commission. 

This Order shall be effective immediately. 

Done in Raleigh, North Carolina, this the 23rd 
day of November, 1993. 

EXECUTIVE ORDER NUMBER 35 

GOVERNOR'S STATE EMPLOYEE 

ACTION COMMISSION 

WHEREAS, State employees are an important 
resource to state government; and 

WHEREAS, Quality working conditions are 
necessary to retain the best state employees; 

NOW, THEREFORE, by the power vested in me 
as Governor by the Constitution and laws of the 
State of North Carolina, IT IS ORDERED: 

Section 1. Establishment. 

The Governor's State Employee Action 
Commission is hereby established. 

Section 2. Composition. 

The Commission shall consist of the following 
members: 



her 



his 



(a) Governor's Ombudsman, Chair; 

(b) Secretary of Administration, or 
designee; 

(c) Commission of Agriculture, or 
designee; 

(d) Attorney General, or his designee; 

(e) State Auditor, or his designee; 

(f) Secretary of Commerce, or his designee; 

(g) President of the North Carolina System 
of Community Colleges, or his designee; 

(h) Secretary of Correction, or his designee; 
(i) Secretary of Crime Control and Public 

Safety, or his designee; 
(j) Secretary of Cultural Resources, or her 

designee; 
(k) Secretary of Environment, Health, and 

Natural Resources, or his designee; 
(1) Secretary of Human Resources, or his 

designee; 
(m) State Comptroller, or his designee; 
(n) Commissioner of Insurance, or his 

designee; 
(o) Commissioner of Labor, or his designee; 



(P) 

(q) 

(r) 
(s) 

(t) 
(u) 



(v) 

(w) 

(X) 

(y) 



(z) 



Superintendent of Public Instruction, or 

his designee; 

Secretary of Revenue, or her designee; 

Secretary of State, or his designee; 

Secretary of Transportation, or his 

designee; 

State Treasurer, or his designee; 

A representative designated by the 

General Administration of the University 

System; 

Director of the Office of State Personnel, 

or his designee; 

State Budget Officer, or his designee; 

Director of the Office of Administrative 

Hearings, or his designee; 

Executive Director of the State 

Employees Association of North 

Carolina, Inc.; 

Director of Government Relations of the 

State Employees Association of North 

Carolina, Inc. 



The Chair may, when she deems appropriate, 
appoint sub-committees from among the 
membership. 

Section 3. Duties. 



The duties of the Commission are: 

(a) to consider the collective concerns and 

policy issues of state employees and 

make recommendations for change as 

necessary; 

to report progress annually to the 

Governor. 



(b) 



Section 4. Meetings. 

The full Commission shall meet at least once per 
year, at the call of the Chair. Sub-committees 
shall meet at the discretion of the Chair. 

Section 5. Administrative Su pport. 

The Office of the Governor shall provide the 
administrative support for the Commission. No 
travel or per diem expenses shall be paid to 
members of the Commission out of the Office of 
the Governor. 

Section 6. Rescission. 



Martin Administration Executive Order 89 is 
hereby rescinded. 

This Order shall be effective immediately. 

Done in the Capital City of Raleigh, North 
Carolina, this the 29th day of November, 1993. 



1721 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



IN ADDITION 



1 his Section contains public notices that are required to be published in the Register or have been 
approved by the Codifier of Rules for publication. 



U.S. Department of Justice 

Civil Rights Division 

JPT:GS:NT:emr Voting Section 

DJ 166-012-3 P.O. Box 66128 

93-3512 Washington, DC. 20035-6128 

93-3945 

93-4388 

November 19, 1993 

Jesse L. Warren, Esq. 

City Attorney 

P. O. Box 3 1 36 

Greensboro, North Carolina 27402-3136 

Dear Mr. Warren: 

This refers to four annexations (Ordinance Nos. 93-111, 93-113, 93-131, and 93-120) and the 
designation of the first three listed annexed areas to election districts of the City of Greensboro in Guilford 
County, North Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act 
of 1965, as amended, 42 U.S.C. 1973c. We received your submissions on September 20, October 15, and 
November 16, 1993. 

The Attorney General does not interpose any objection to the specified changes. However, we note 
that Section 5 expressly provides that the failure of the Attorney General to object does not bar subsequent 
litigation to enjoin the enforcement of the changes. In addition, as authorized by Section 5, we reserve the 
right to reexamine this submission if additional information that would otherwise require an objection comes 
to out attention during the remainder of the sixty-day review period. See the Procedures for the 
Administration of Section 5 (28 C.F.R. 51.41 and 51.43). 



Sincerely, 

James P. Turner 

Acting Assistant Attorney General 

Civil Rights Division 



By: 



Steven H. Rosenbaum 
Chief, Voting Section 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1722 



IN ADDITION 



TITLE 15A 
DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

CHAPTER 10 
WILDLIFE RESOURCES AND WATER SAFETY 

JANUARY 24, 1994 HEARING 

CHANGE IN SYLVA. NORTH CAROLINA HEARING LOCATION 
PUBLISHED IN 8:17 NCR 1634-1662 

The location of the 7:00 p.m. January 24, 1994 hearing has been changed from the Jackson County 
Courthouse in Sylva, North Carolina to the Southwestern Community College (formerly known as 
Southwestern Technical Institute), 275 Webster Road, Sylva, North Carolina. The Jackson County 
Courthouse will be posted with signs as to the location change and someone from the North Carolina 
Wildlife Resources Commission will be there to direct attendees to the new location. 



€ 



I 



C 



1723 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



TITLE 1 - DEPARTMENT 
OF ADMINISTRATION 

IVotice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Administration 
intends to amend rule cited as 1 NCAC 4G .0212. 

1 he proposed effective date of this action is 
March 1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 6, 1994 at the Department of 
Administration, Room 5106D, Conference Room, 
Administration Building, 116 West Jones Street, 
Raleigh, NC 27603-8003. 

Jxeason for Proposed Action: To clarify process 
for receiving bids by electronic mediums. 

Ksomment Procedures: Any interested person may 
present his/her comments either in writing at the 
hearing or orally at the hearing. Any person may 
request information, permission to be heard, or 
copies of the proposed regulations by writing or 
calling David McCoy, Department of Administra- 
tion, 116 West Jones Street, Raleigh, NC 27603- 
8003. 

CHAPTER 4 - AUXILIARY SERVICES 

SUBCHAPTER 4G - SURPLUS 
PROPERTY 

SECTION .0200 - STATE SURPLUS 
PROPERTY 

.0212TELEFAX PROPOSALS (BIDS) 

T e l e gmph or Telephone facsimile machine (FAX) 
b+ds proposals may be considered if received prior 
to sp e cifi e d the published time and date of the bid 
opening. Any proposal which is faxed to the 
Office of State Surplus Property must include both 
the front and back of the State Surplus Property 
proposal form with the proposer's signature on the 
second or back page of the proposal form. The 
proposer acknowledges an intent to contract by 
submission of his bid by fax and waives the right 
to raise any defenses to contract related to his 
electronic submission of the fax proposal. Any bid 
which is faxed must be received by no later than 
1 :00 p.m. Eastern Standard Time on the published 
bid opening date. Any bid submitt e d und e r this 



Rule which is not confirmed in writing and poot 
marked by midnight of the published date for 
receipt of bid s will not be considered. 

Statutory Authority G.S. 143-49. 

TITLE 4 - DEPARTMENT 
OF COMMERCE 

IVotice is hereby given in accordance with G.S. 
150B-21.2 that the Department of Commerce - 
Credit Union Division intends to adopt rule cited 
as 4 NCAC 6C .1401. 

1 he proposed effective date of this action is 
March 1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 14, 1994 at the Credit Union 
Division, 1 1 10 Navaho Drive, Suite 300, Raleigh, 
North Carolina 27609. 

lXeason for Proposed Action: To give state- 
chartered credit unions the authority to become 
qualified guarantors. 

Vsommetti Procedures: Any interested person may 
present his/her comments either in writing prior to 
or at the hearing or orally at the hearing for a 
maximum often minutes. Any person may request 
information by writing or calling Mr. Antonio 
Knox, Credit Union Division, 1 1 10 Navaho Drive, 
Suite 300, Raleigh, North Carolina. Telephone 
919-850-2929. 

CHAPTER 6 -CREDIT 
UNION DIVISION 

SECTION .1400 - SIGNATURE 
GUARANTEE SERVICES 

.1401 SIGNATURE GUARANTEE 

(a) Provided the following conditions are satis- 
fied, a credit union may offer its members signa- 
ture guarantee services in connection with the 
transfer of securities, name change on a security 
certificate, replacement of lost certificates, or 
erasures on a security certificate. 

(b) The credit union obtains an appropriate bond 
endorsement protecting |t against any loss or 
liability resulting from granting an improper 
signature guarantee. 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1724 



PROPOSED RULES 



(c) The credit union participates in a signature approval of the Administrator before commencing 
guarantee program endorsed by the Securities its signature guarantee program. 

Transfer Association. 

(d) The credit union obtains the prior written Statutory Authority G.S. 54-109.12; 54- 

109.21(25). 

TITLE 10 -DEPARTMENT OF HUMAN RESOURCES 

Notice is hereby given in accordance with G.S. 150B-21.2 that the Division of Facility Services intends 
to amend rules cited as 10 NCAC 3R .3001, .3020. .3030. .3032. .3040. .3050. 

1 he proposed effective date of this action is March 1 . 1994. 

1 he public hearing will be conducted at 10:00 a.m. on January 14. 1994 at Room 201 , Council Building, 
701 Barbour Drive, Raleigh, NC. 

Jxeason for Proposed Action: To adopt as permanent rules the temporary rules adopted effective December 
31, 1993, for the 1994 State Medical Facilities Plan. 

Lsom/nent Procedures: Written comments must be submitted no later than January 14, 1994, to Mr. Jackie 
R. Sheppard, APA Coordinator, Division of Facility Services, P.O. Box 29530, Raleigh, NC 27626-0530, 
telephone (919) 733-2342. 

Jtl/dtior's Note: These Rules were filed as temporary amendments effective December 31, 1993 for a 
period of 180 days or until the permanent rule becomes effective, whichever is sooner. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3R - CERTIFICATE OF NEED REGULATIONS 

SECTION .3000 - STATE MEDICAL FACILITIES PLAN 

.3001 CERTIFICATE OF NEED REVIEW CATEGORIES 

The agency has established m« Y2 categories of facilities and services for certificate of need review and 
will determine the appropriate review category or categories for all applications submitted pursuant to 10 
NCAC 3R .0304. For proposals which include more than one category, the agency may require the 
applicant to submit separate applications. If it is not practical to submit separate applications, the agency 
will determine in which category the application will be reviewed. The review of an application for a 
certificate of need will commence in the next review schedule after the application has been determined to 
be complete. The ahk J_2 categories of facilities and services are: 

(1) Category A. Proposals, except those proposals included in Categories B through F and Categories 
H through K L, for acute health service facilities, including but not limited to the following types 
of projects: renovation, construction, equipment, and acute care services. 

(2) Category B. Proposals for long-term nursing facility beds which are reviewed against the State 
Medical Facilities Plan. 

(3) Category C. Proposals for new psychiatric facilities; psychiatric beds in existing health care 
facilities; new intermediate care facilities for the mentally retarded (ICF/MR) and ICF/MR beds 
in existing health care facilities; new substance abuse and chemical dependency facilities; substance 
abuse and chemical dependency beds in existing health care facilities. 

(4) Category D. Proposals for new or expanded end-stage renal disease treatment facilities; and 
relocations of existing dialysis stations to another county. 



7725 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



(5) Category E. Proposals for new or expanded inpatient rehabilitation facilities and inpatient 
rehabilitation beds in other health care facilities. 

(6) Category F. Proposals for new or expanded ambulatory surgical facilities except those proposals 
included in Categories J or K. 

(7) Category G. Proposals involving cost overruns; expansions of existing continuing care facilities 
which are licensed by the Department of Insurance at the date the application is filed and are 
applying under exemptions from need determinations in 10 NCAC 3R .3030; relocations within 
the same county of existing health service facilities, beds or dialysis stations which do not involve 
an increase in the number of health service facility beds; reallocation of beds or stations; proposals 
submitted by Academic Medical Center Teaching Hospitals designated prior to January 1, 1990; 
proposals for new home health offices applyins pursuant to \0 NCAC 3R .3050(b)(6); and any 
other proposal not included in Categories A through F, or Category H through Category -K L. 

(8) Category H. Proposals for new continuing care facilities applying for exemption under 10 NCAC 
3R .3050(b)(2) and new home health agencies or offices. 

(9) Category I. Proposals for converting hospital beds to nursing care under 10 NCAC 3R 
.3050(b)(1). 

(10) Category J. Proposals for bone marrow transplantation services, burn intensive care services, 
neonatal intensive care services, open heart surgery services, solid organ transplantation services, 
air ambulance equipment, cardiac angioplastic equipment, cardiac catheterization equipment, heart- 
lung bypass machine, gamma knife, lithotriptors, magnetic resonance imaging scanner, positron 
emission tomography scanners, and major medical equipment as defined in G.S. 131E-176 (14f). 

(1 1) Category K. Proposals for diagnostic centers and oncology treatment centers. 

(12) Category L. Proposals for new hospice home care programs, new hospice inpatient beds and new 
hospice residential beds. 

Statutory Authority G.S. 1 31 E-l 76(25); 131E-177(1); 131E-183(1). 

.3020 CERTIFICATE OF NEED REVIEW SCHEDULE 

The agency has established the following schedule for review of categories and subcategories of facilities 
and services in 1993 1994 : 
(1) Category B. Subcategory Long-Term Nursing Facilities. 



County 



HSA 



CON Beginning 
Review Date 



Person 
Hertford 

n J\ j -fc ■-* ;-* *~k 

Mitchell 

Johnston 

Harnett 

Wayne 

Duplin 

Wa s hington 

Wilke s 

Brunswick 

Pender 



VI 

4 
i 

W 
V- 
VJ 
\+ 
V4 
i 

V 
V 



March 1 



April 1 



August 1 



August 1 
March 1 



October 



April 1 
October 1 



October 1 



February 1 
April 1. 
April L 



+995 



+993 



+993 



W93 



+994 



+993 



+995 



vm 



+995 



+993 



1994 



1994 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 1726 



PROPOSED RULES 



(2) 



(3) 



.4, 



County 



HSA 



CON Beginning 
Review Date 



Greene 



\l 



April 1, 1994 



Category C. Subcategory Intermediate Care Facilities for Mentally Retarded. 



Counties 



HSA 



CON Beginning 
Review Date 



Mecklenburg 

Buncombe. Madison, Mitchell. Yancey 

Gaston. Lincoln 

Rowan. Iredell. Davie 

Orange. Person. Chatham 

Halifax 

Moore. Hoke. Richmond. Montgomery- 
An s on 

Craven. Jones. Pamlico. Carteret 

P4tt 

Beaufort. Wa s hington. Tyrrell. Hyde. Martin 



Pitt 



Beaufort. Washington. Tyrrell. Hyde. Martin 

Pasquotank. Chowan. Perquimans. Camden. 
Dare, Currituck 



H4 
1 

111 
ii! 
IV 
VI 



V4 

V4 
V] 
XI 

VI 



May 1, 1993 

June 1 . W93 1994 

November 1_, 1994 

May 1, 1994 

May 1, 1994 

December 1, 1994 

Juno 1, 1993 

June 1, 1993 

June 1, 1993 

December 1, 1993 

December 1, 1994 

June L 1994 



June 



1994 



Category D. Subcategory End Stage Renal Disease Dialysis Stations. Dialysis station review shall 
be conducted under the provisions of 10 NCAC 3R .3032. 

Category H. Subcategory Home Health Agencies or Offices. 



County 



HSA 



CON Beginning 
Review Date 



Davidson 

For s yth 

Guilford 

Dafe 

Iredell 

Mecklenburg 

Durham 

Cumberland 



H 

a 

V4 
ill 

ill 

!Y 
v 



April 
April 



\mi 



W^ 



October 



W9^ 



February 1, 1993 
July 1, 1994 
February L 1994 
February L, 1994 
February 1, 1994 



1727 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



(5) All categories for which review dates arc not specified in Subparagraph (1), (2), (3), ( 4 ) of this 
Rule. If a need has been identified for any health service or facility in K) NCAC 3R .3030. 
applications for certificates of need for those services will be reviewed pursuant to the following 
review schedule, unless another schedule has been specified in Items £1J z 14) of this Rule. 



CON 














BEGINNING 














REVIEW 














DATE 


HSA I 


HSA n 


HSA III 


HSA rv 


HSA V 


HSA VI 


January 1 


-- 


- 


-- 


-- 


- 


-- 


February 1 


B, G, I 


B, G, I 


A. G, E, H, I, 


A, G, E, H, I, i 


A, G, E, H, I, I 


A, G, E, H, I,i 








LK 


K 


K 


K 


March 1 


- 


- 


B, G 


B, G 


-- 


-- 


April 1 


A, G. E, H, I 
K 


A, G, E, H, J, 
K 


- 


-- 


B, G 


B, G 


May 1 


-- 


- 


C, G, F 


C, G, F 


- 


-- 


June 1 


A, C, G, F, D, 


A, C, G, F, D, 


D 


D 


A, C, G, F, D, 


A, C, G, F, D, 




LK 


LK 






IK 


LK 


July 1 


- 


-- 


A, G,H,J,K 


A, G,H,J,K 


-- 


- 


August 1 


B, G, L 


B, G, L 


- 


- 


G, E, H 


G, E, H 


September 1 


-- 


- 


B, G, E, Jt-I4t L 


B, G, E.JrKL 


- 


-- 


October 1 


G, E, H-rJ^K 


G, E, H T -4 r -K 


-- 


-- 


B,G, UCL 


B, G, M4 L 


November 1 


-- 


A, C, G, F, I K 


A, C, G, F, I K 


A, C, G, F, J, K 


-- 


-- 


December 1 


A, C, D, G, F, 


D 


D 


D 


A, C, D, G, F, 


A, C, D, G, F, 



Statutory Authority G.S. 131 E-l 76(25); 131E-177(I); 131 E-l 83(1). 

.3030 FACILITY AND SERVICE NEED DETERMINATIONS 

Facility and service need determinations are shown in Items (1) - <44-) (16) of this Rule. The need 
determinations ar e s ubj e ct to r e duction s shall be revised continuously throughout 1994 pursuant to 10 NCAC 
3R .3040. bas e d on c e rtificat e s of n ee d award e d aft e r S e pt e mb e r 17, 1992: 

(1) Category A. Acute Health Service Facilities. It is determined that there is no need for additional 
acute care beds and no reviews are scheduled. 

C.J. Harris Community Hospital System HSA I 15 b e d s 

(2) Category B. Long-Term Nursing Facility Beds. 







Number of Nursing 


County 


HSA 


Beds Needed 


Person 


W 


30 


Hertford 


Vi 


30 


Macon 


1 


30 


Mitchell 


I 


30 


Johnston 


JV 


§0 


Harnett 


V 


90 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1728 



PROPOSED RULES 







Number 


of Nursing 


County 


HSA 


Beds 


Needed 




V4 




30 




Washington 


V4 




43 




V4 




SO 




Wilkes 


I 




30 


Brunswick 


y 




40 


Pender 


y 




20 


Greene 


VI 




10 



i 



(3) Category C. 

(a) Psychiatric Facility Beds. It is determined that there is no need for additional psychiatric beds 
and no reviews are scheduled. 

(b) Intermediate Care Facilities for Mentally Retarded Beds. 



Counties 



HSA 



Mecklenburg 

Buncombe, Madison, Mitchell, Yancey 

Gaston, Lincoln 

Rowan, Iredell, Davie 

Orange, Person, Chatham 

Halifax 

Moore, — Hoke, — Richmond, Montgomery, 
An s on 

Craven, Jones. Pamlico. Carteret 

Pitt 

Beaufort, Washington, Tyrrell, Hyde. 

Martin 

Pasquotank, Chowan, Perquimans, 
Camden, Dare, Currituck 



W4 

1 

III 

IS 

IV 

VI 



V4 

VI 

VI 
VI 





Need 




Determination 


Child 




Adult 


6 




24 


60 




6 







6 


12 







6 







12 








6 

6 12 






+86 

18 



f 



(c) Substance Abuse and Chemical Dependency Facility Treatment Beds. It is determined that there 
is no need for additional chemical dependency treatment beds and no reviews are scheduled. 

(4) Category D. End-Stage Renal Disease Treatment Facilities. Need for end-stage renal dialysis 
facilities or stations is determined as is provided in 10 NCAC 3R .3032. 

(5) Category E. Inpatient Rehabilitation Facility Beds. It ]s determined that there is no need for 
additional rehabilitation beds and no reviews are scheduled. 



I 



1729 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



UCA 
TTCTTT 


gfwJQ 


I 


9 


H 


9 


ffl 


39 


W 


9 


V 


34- 


VI 


39 



(6) Category F. Ambulatory Surgery Facilities Operating Rooms . It is determined that there is no 
need for additional facilities ambulatory surgery operating rooms and no reviews are scheduled^ 
except that a Rural Primary Care Hospital designated by the N.C. Office of Rural Health Services 
pursuant to Section 1829(f) of the Social Security Act may apply for a certificate of need to 
convert existing operating rooms for use as a freestanding ambulatory surgical facility. 



(7) Category H. New Home Health Agencies or Offices. 







Number of Agencies 


County 


HSA 


or 


Off! 


ces Needed 


Davidson 


H 






3 




Guilford 


H 






3 


L'flFC 


V4 






4- 


Iredell 


HI 






I 


Mecklenburg 


ii! 






2 


Durham 


IV 






I 


Cumberland 


V 






I 



(8) Category I Open heart surgery operating rooms services. It is determined that there is no need 
for additional rooms and no reviews arc scheduled, open heart surgery services and no reviews are 
scheduled; except that a health service facility that currently provides these services may apply for 
a certificate of need to expand its existing services to meet specific needs if utilization of the health 
service facility's existing open heart surgery services exceeds 80% of capacity. 

(9) Category JL Heart-Lung Bypass Machines. It js determined that there ]s no need for additional 
heart-lung bypass machines and no reviews are scheduled; except that a health service facility that 
currently provides open heart surgery services may apply for a certificate of need to acquire 
additional heart-lung bypass machinery if the existing heart-lung machinery used by the health 
service facility |s utilized at or above 80% of ca pacity. 

(19) Category I Cardiac Angioplasty Equipment. It \s determined that there is no need for additional 
cardiac angioplasty equipment and no reviews are scheduled; except that a health service facility 
that currently provides cardiac angioplasty services may apply for a certificate of need to acquire 
additional cardiac angioplasty equipment jf utilization of cardiac angioplasty equipment used by 
the health service facility exceeds 80% of capacity. 

(1 1) Category L Cardiac Catheterization Equipment. It is determined that there is no need for 
additional fixed or mobile cardiac catheterization equipment and no reviews are scheduled; except 
that a health service facility that currently provides cardiac catheterization services may apply for 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1730 



PROPOSED RULES 



a certificate of need to acquire additional cardiac catheterization equipment if utilization of cardiac 
catheterization equipment used by the health service facility exceeds 80% of capacity, 

(12) {£) Category L Solid organ transplant services shall be developed and offered only by end 
allogeneic bone marrow transplant program s — It is determined that those programs arc needed only 
m academic medical center teaching hospitals as defined under designated in 10 NCAC 3R 
.3050(a)(3). It is determined that there is no need for new solid organ transplant services and no 
reviews are scheduled. 

f-H?} Gamma knife — It is determined that there is no need for gamma knife stereotactic radiosurgery 

services in any facility and no reviews are s ch e dul e d. 

( 13) Category J. Bone Marrow Transplantation Services. It is determined that allogeneic bone marrow 
transplantation services shall be developed and offered only by academic medical center teaching 
hospitals as designated in 10 NCAC 3R .3050(a)(3). It is determined that there is no need for 
additional allogeneic or autologous bone marrow transplantation services and no reviews are 
scheduled. 

^4-4-) Positron — Emis s ion — Tomography h — is — determined — that there — is — no — need — fef — additional 

cyclotron based positron emission tomography capacity — in any — facility and — ne — reviews arc 
scheduled. 

i 14i Category I Gamma Knife Equipment. It is determined that there is no need for gamma knife 
equipment and no reviews are scheduled. 

( 15) Category J. Positron Emission Tomography Scanner. It ]s determined that there is no need for 
additional positron emission tomography scanners for purposes other than research and no reviews 
are scheduled. 

(16) Category L. 

(a) New Hospice Home Care Programs. 







Number of New 






Hospice 


Home Care 


County 


HSA 


Programs Needed 


Graham 


I 




_L 


McDowell 


1 




J. 


Swain 


I 




_L 


Cumberland 


V 




_L 


Robeson 


V 




_L 


Edgecombe 


Yl 




-L 


Hyde 


VI 




-L 


Onslow 


VI 




_L 


Wayne 


Yi 




JL 



(b) New Hospice Inpatient Beds (Single Counties). It is determined that the following single counties 
have a need for six or more new Hospice Inpatient Beds: 







Number of New 






Hospice Inpatient 


County 


HSA 


Beds Needed 


Forsyth 


II 


8 


Guilford 


H 


7 



1731 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 







Number of New 






Hospice Inpatient 


County 


HSA 


Beds Needed 


Wake 


IY 


7 



(c) New Hospice Inpatient Beds (Contiguous Counties). It has been determined that any combination 
of two or more contiguous counties taken from the following list shall have a need for new 
hospice inpatient beds if the combined bed deficit for the grouping of contiguous counties totals 
six or more beds. Each county in a grouping of contiguous counties must have a deficit of at 
least one and no more than five beds. The need for the grouping of contiguous counties shall 
be the sum of the deficits in the individual counties. For purposes of this rule, "contiguous 
counties" shall mean a grouping of North Carolina counties which includes the county in which 
the new hospice inpatient facility is proposed to be located and any one or more of the 
immediately surrounding North Carolina counties which have a common border with that county, 
even if the borders only touch at one point. No county may be included in a grouping of 
contiguous counties unless it is listed in the following table: 







Hospice Inpatient 


County 


HSA 


Bed Deficit 


Alexander 


I 


I 


Ashe 


I 


I 


Avery 


I 


I 


Buncombe 


I 


I 


Burke 


I 


i 


Cleveland 


I 


3 


Henderson 


I 


4 


Madison 


I 


I 


Polk 


I 


I 


Rutherford 


I 


2 


Transylvania 


I 


I 


Watauga 


I 


I 


Wilkes 


I 


I 


Yancey 


I 


I 


Alamance 


II 


5 


Caswell 


U 


I 


Davidson 


n 


2 


Randolph 


n 


4 


Rockingham 


n 


3 


Stokes 


n 


I 


Surrv 


n 


2 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1732 



PROPOSED RULES 







Hospice Inpatient 


County 


HSA 


Bed Deficit 


Cabarrus 


LU 


2 


Gaston 


UJ 


4 


Iredell 


LU 


3 


Mecklenburg 


JJJ 


4 


Rowan 


in 


3 


Stanly 


12 


I 


Union 


ii! 


2 


Chatham 


IY 


2 


Durham 


JY 


3 


Johnston 


IY 


I 


Lee 


IY 


I 


Orange 


LY 


I 


Bladen 


y 


I 


Brunswick 


y 


2 


Columbus 


y 


2 


Harnett 


y 


I 


Moore 


y 


2 


New Hanover 


y 


3 


Pender 


y 


I 


Richmond 


y 


I 


Scotland 


y 


I 


Bertie 


YJ 


2 


Duplin 


YJ 


I 


Greene 


YJ 


2 


Hertford 


VI 


2 


Nash 


YJ 


I 


Northampton 


YJ 


I 


Onslow 


YJ 


I 


Pitt 


YJ 


I 


Wayne 


YJ 


I 


Wilson 


YJ 


I 



Statutory Authority G.S. 131E-176(25); 131E-177(1); 131E-183(1). 



1733 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



.3032 DIALYSIS STATION NEED DETERMINATION 

(a) The Medical Facilities Planning Section (MFPS) shall determine need for dialysis stations and facilities 
two times each calendar year, and shall make a report of such determinations available to all who request 
it. This report shall be called the MFPS Semiannual Dialysis Report (SDR). Data to be used for such 
determinations, and their sources, are as follows: 

(1) Numbers of dialysis patients, by type, county and facility, from the Southeastern Kidney Council, 
Inc. (SEKC) and the Mid-Atlantic Renal Coalition, Inc. 

(2) Certificate of need decisions, decisions appealed, appeals settled and awards, from the Certificate 
of Need Section, DFS. 

(3) Facilities certified for participation in Medicare, from the Certification Section, DFS. 

(4) Need determinations for which certificate of need decisions have not been made, from MFPS 
records. 

Need determinations in this report shall be an integral part of the State Medical Facilities Plan, as provided 
in G.S. 131E-183. 

(b) Need for dialysis stations and facilities shall be determined as follows: 

(1) County Need 

(A) The average annual rate (%) of change in total number of dialysis patients resident in each 
county from the end of 4988 1989 to the end of 4992 1993 is multiplied by the county's 4992 
1993 year end total number of patients in the MFPS Semiannual Dialysis Report (SDR), and 
the product is added to each county's most recent total number of patients reported in the SDR. 
The sum is the county's projected total 1993 1994 patients. 

(B) The percent of each county's total patients who were home dialysis patients at the end of 4992 
1993 is multiplied by the county's projected total 1993 1994 patients, and the product is 
subtracted from the county's projected total 1993 1994 patients. The remainder is the county's 
projected 1993 1994 in-center dialysis patients. 

(C) The projected number of each county's 1993 1994 in-center patients is divided by 3.2. The 
dividend quotient is the projection of the county's 1993 1994 in-center dialysis stations. 

(D) From each county's projected number of 1993 1994 in-center stations is subtracted the county's 
number of stations certified for Medicare, CON-approved and awaiting certification, awaiting 
resolution of CON appeals, and the number represented by need determinations in previous 
State Medical Facilities Plans or Semiannual Dialysis Reports for which CON decisions have 
not been made. The remainder is the county's 4993 1994 station need projection. 

(E) If a county's 1993 1994 station need projection is s even 10 or greater and the SDR shows that 
utilization of each dialysis facility in the county is 80% or greater, the 1993 1994 station need 
determination is the same as the 1993 1994 station need projection. 

(2) Facility Need. A dialysis facility located in a county whose unmet need in the reference 
Semiannual Dialysis Report (SDR) is less than 7 JO stations is determined to need additional 
stations to the extent that: 

(A) Its utilization, reported in the SDR, is greater than 3.2 patients per station. 

(B) Such need, calculated as follows, is reported in an application for a certificate of need: 

(i) The facility's number of in-center hemodialysis patients on December 31, 1991 reported 
in the previous SDR (SDR ,) is subtracted from the number of such in-center hemodialysis 
patients on December 31, 1992 and the remainder i s divided by the number of in center 
patients on December 31, 1991. reported in the current SDR (SDR ^). The difference js 
multiplied by 2 to project the net in-center change for one year. Divide the projected net 
in-center change for the year by the number of in-center patients from SDR , to determine 
the projected annual growth rate. 
(ii) The dividend quotient from Subpart ib)(2)(B)(i) of this Rule is divided by 12. 

(iii) The dividend quotient from Subpart £b_)(2)(B)(ii) of this Rule is multiplied by the number 
of months from the most recent month reported in the SDR until the end of calendar 1993 
1994 . 

(iv) The product from Subpart £bJ(2)(B)(iii) of this Rule is multiplied by the number of the 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1734 



PROPOSED RULES 



facility's in-center patients reported in the SDR and that product is added to such reported 
number of in-center patients, 
(v) The sum from Subpart (b)(2)(B)(iv) of this Rule is divided by 3.2, and from the dividend 
quotient is subtracted the facility's current number of certified and pending stations as 
recorded in the SDR. The remainder is the number of stations needed. 
(C) The facility may apply to expand to meet the need established in Subpart (b)(2)(B)(v) of this 
Rule , up to a maximum of seven 10 stations. 
The schedule for publication of the Medical Facilities Planning Section's Semiannual Dialysis Report (SDR) 
and for receipt of certificate of need applications based on each issue of this report in 1993 1994 shall be 
as follows: 



Date for Receipt of Publication Receipt of CON Beginning 

Period Ending SEKC Report of SDR Applications Review Dates 



Dec. 31, 1992 Feb. 28, 1993 March 19, 1993 May 1 4 , 1993 June 1, 1993 

Dec. 31, 1993 Feb. 28, 1994 March 19, 1994 May 16, 1994 June 1, 1994 

June 30, 1993 Aug. 31, 1993 Sept. 20, 1993 Nov. 15, 1993 Dec. 1, 1993 

June 30, 1994 Aug. 31, 1994 Sept. 20, 1994 Nov. 15. 1994 Dec. 1, 1994 



An application for a certificate of need pursuant to this Rule shall be accepted only if it demonstrates a need 
by utilizing one of the methods of determining need outlined in this Rule. 

Statutory- Authority G.S. 131E-176(25); 131E-177(1); 131E-183(1). 

.3040 REALLOCATIONS AND ADJUSTMENTS 

(a) Reallocation s . REALLOCATIONS. 

(1 ) Reallocations shall be made only to the extent that 10 NCAC 3R .3030 determines that a need 
exists after the inventory is revised and the need determination is recalculated. 

(2) Beds or services which are reallocated once in accordance with this policy shall not be 
reallocated again. Rather, the Medical Facilities Planning Section shall make any necessary 
changes in the next published amendment to J_0 NCAC 3R .3030. 

(3) i4-j Appeals of Certificate of Need Decisions on Applications. Need determinations of beds or 
services for which the CON Section decision has been appealed shall not be reallocated until the 
appeal is resolved. 

(A) Appeals Resolved Prior to September 17: If an appeal is resolved in the calendar year prior 
to September 17, the beds or services shall not be reallocated by the CON Section; rather the 
Medical Facilities Planning Section shall make the necessary changes in the next amendment 
to 10 NCAC 3R .3030. 

(B) Appeals Resolved On Or After September 17: If the appeal is resolved on or after September 
17 in the calendar year, the beds or services shall be made available for a review period to be 
determined by the CON Section, but beginning no earlier than 60 days from the date that the 
appeal is resolved. Notice shall be given by the Certificate of Need Section no less than 45 
days prior to the due date for receipt of new applications. 

Dialysis stations that are withdrawn, relinquished, not applied for or decertified shall not be 
reallocated. Instead, any necessary redetermination of need shall be made in the next scheduled 
publication of the Semiannual Dialysis Report. Reallocation s s hall be made only to the extent 
that 10 NCAC 3R .3030 determines that a need exists after the inventory i s revi s ed and the need 
determination i s r e calculated. — B ed s or s ervices which are reallocated onee in accordance with 
this policy shall not be reallocated again. — Rather, the Medical Facilities Planning Section shall 
make any nece s sary changes in the next published amendment to 10 NCAC 3R .3030. 



1735 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



(4) (3) Withdrawals and Relinquishments. A need determination for which a certificate of need is 
issued, but is subsequently withdrawn or relinquished, is available for a review period to be 
determined by the Certificate of Need Section, but beginning no earlier than 60 days from: 

(A) the last date on which an appeal of the notice of intent to withdraw the certificate could be filed 
if no appeal is filed, 

(B) the date on which an appeal of the withdrawal is finally resolved against the holder, or 

(C) the date that the Certificate of Need Section receives from the holder of the certificate of need 
notice that the certificate has been voluntarily relinquished. 

Notice of the scheduled review period for the reallocated services or beds shall be given no less than 45 
days prior to the due date for submittal of the new applications. 

(5) (3) Need Determinations for which No Applications are Received 

(A) Services or Beds with Scheduled Review on or Before September 17 October _1: Need 
determinations, or portions of such need, for services or beds in this category include long-term 
nursing care beds, home health agencies or offices, dialysis stations, hospice home care 
programs, hospice inpatient beds, and beds in intermediate care facilities for the mentally 
retarded (ICF/MR) with the exception of ICF/MR allocation s need determinations with a 
scheduled review that begins after September 17 October 1. The Certificate of Need Section 
shall not reallocate the services or beds in this category for which no applications were 
received, because the Medical Facilities Planning Section will have sufficient time to make any 
necessary changes in the determinations of need for these services or beds in the next annual 
amendment to 10 NCAC 3R .3030. 

(B) Services or Beds with T-w» Scheduled Review Period s and ICF/MR Fall Review. After October 
J_^ Need determinations for services or beds in this category include acute care beds, 
rehabilitation beds, ambulatory surgery operating rooms, medical technology, psychiatric beds, 
substance abuse beds, and ICF/MR beds^ bone marrow transplantation services, burn intensive 
care services, neonatal intensive care services, open heart surgery services, solid organ 
transplantation services, air ambulance equipment, cardiac angioplastic equipment, cardiac 
catheterization equipment, heart-lung bypass machine, gamma knife, lithotriptors, magnetic 
resonance imaging scanner, positron emission tomography scanners, major medical equipment 
as defined in G.S. 131E-176(14f), diagnostic centers and oncology treatment centers for which 
review commences after September 17 October I. A need determination in this category for 
which no application has been received by the last due date for submittal of applications shall 
be available to be applied for in the second Category G review period in the next calendar year 
for the applicable HSA. Notice of the scheduled review period for the reallocated beds or 
services shall be given by the Certificate of Need Section no less than 45 days prior to the due 
date for submittal of new applications. 

(6) {4) Need Determinations not Awarded because Application Disapproved. 

(A) Disapproval prior to September 17: Need determinations or portions of such need for which 
applications were submitted but disapproved by the Certificate of Need Section before 
September 17, shall not be reallocated by the Certificate of Need Section. Instead the Medical 
Facilities Planning Section shall make the necessary changes in the next annual amendment to 
10 NCAC 3R .3030 if no appeal is filed. 

(B) Disapproval on or After September 17: Need determinations or portions of such need for 
which applications were submitted but disapproved by the Certificate of Need Section on or 
after September 17, shall be reallocated by the Certificate of Need Section. A need in this 
category shall be available for a review period to be determined by the Certificate of Need 
Section but beginning no earlier than 95 days from the date the application was disapproved, 
if no appeal is filed. Notice of the scheduled review period for the reallocation shall be mailed 
no less than 80 days prior to the due date for submittal of the new applications. 

(b) CHANGES IN NEED DETERMINATIONS. Need determination s in 10 NCAC 3R .3030 and .3032 
s hall be revised after the effective date of this Rule a s nece ss ary to reflect: 

fB dialysis stations decertified after September 17, 1992 

{3} health service facilities or beds deliccnsed after September 17, 1992 

0) psychiatric bed s licen s ed pursuant to G.S. 13 IE 1 84 (c), 

f4) error s in inventories on which need determinations in 10 NCAC 3R .3030 arc based. 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1736 



PROPOSED RULES 



( 1 ) The need determinations in JO NCAC 3R .3030 and .3032 shall be revised continuously 
throughout 1994 to reflect all changes in the inventories of: 

(A) the health services listed at G.S. 131E-176(16)(f); 

(B) health service facilities; 

(C) health service facility beds; 

(D) dialysis stations; 

(E) the equipment listed at G.S. 131E-176(16)(fl ); and 

(F) mobile medical equipment 

as those changes are reported to the Medical Facilities Planning Section. However, need 
determinations in JO NCAC 3R .3030 or .3032 shall not be reduced if the relevant inventory ]s 
adjusted upward 30 days or less prior to the first day of the applicable review period. 

(2) Inventories shall be updated to reflect: 

(A) decertification of home health agencies or offices and dialysis stations; 

(B) delicensure of health service facilities and health service facility beds; 

(C) demolition, destruction, or decommissioning of equipment as listed at G.S. 131 E- 1 76( 1 6)(f 1 ) 
and (s); 

(D) elimination or reduction of a health service as listed at G.S. 131E-176(16)(f); 

(E) psychiatric beds licensed pursuant to G.S. 1 3 1 E- 1 84(c); 

(F) certificates of need awarded . relinquished, or withdrawn, subsequent to the preparation of the 
inventories m the State Medical Facilities Plan; and 

(G) corrections of errors in the inventory as reported to the Medical Facilities Planning Section. 

(3) Any person who is interested in applying for a new institutional health service for which a need 
determination is made in JO NCAC 3R .3030 or .3032 may obtain information about updated 
inventories and need determinations from the Medical Facilities Planning Section. 

te) — REVIEW PERIODS. — Determinations of neod for nursing facility beds, home health agencies or 
office s . ICF/MR beds are available to be applied for only once during th e calendar year. — The review cycles 
for these allocation s are s pecified in 10 NCAC 3R .3020 (1) ( 4 ). All other allocations are available for the 
certificate of need review cycles specified in 10 NCAC 3R .3020 (5). 

Statutory Authority G.S. 131E-176(25); 131E-177(I); 131 E-l 83(1). 

.3050 POLICIES 
(a) ACUTE CARE FACILITIES AND SERVICES 

(1) Use of Licensed Bed Capacity Data for Planning Purposes. For planning purposes the number 
of licensed beds shall be determined by the Division of Facility Services in accordance with 
standards found in 10 NCAC 3C .1510 - Bed Capacity. 

(2) Utilization of Acute Care Hospital Bed Capacity. Conversion of underutilized hospital space to 
other needed purposes shall be considered to be more cost efficient than an alternative to new 
construction , unle s s s hown otherwise . Hospitals falling below utilization targets are shown in 
10 NCAC 3R .3050(a)(4) are assumed to have underutilized space. Any such hospital proposing 
new construction must clearly demonstrate that it is more cost-effective than conversion of 
existing space. 

(3) Exemption from Plan Provisions for Certain Academic Medical Center Teaching Hospital 
Projects. Projects for which certificates of need are sought by academic medical center teaching 
hospitals may qualify for exemption from provisions of 10 NCAC 3R .3030. 

(A) For purposes of this Rule, the following facilities are designated the State Medical Facilitie s 
Planning Section shall — designate as a« Academic Medical Center Teaching Hospitals Hospital 
any facility who s e application for such designation demon s trat e s the following characteristic s 
of the hospital : 

fA-) — Serves as a primary teaching s ite for a school of m e dicine and at least one other health 
professional school, providing undergraduate, graduate and postgraduate education. 

<-B) — Houses extensive basic medical science and clinical research program s , patients and equipment. 

f€-) — Serves the treatment needs of patients from a broad geographic area through multiple medical 
s pecialtie s . 
(i) Duke University Hospital. 



1737 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



> 



1 


- 49 


50 


- 99 


100 


- 199 


200 


- 699 


700 


+ 



(ii) Carol inas Medical Center, 
(iii) North Carolina Baptist Hospitals, 
(iv) Pitt County Memorial Hospital, 
(v) University of North Carolina Hospitals. 
(B) Exemption from the provisions of 10 NCAC 3R .3030 shall be granted to projects submitted 
by Academic Medical Center Teaching Hospitals designated prior to January 1, 1990 which 
projects comply with one of the following conditions: 
(i) Necessary to complement a specified and approved expansion of the number or types of 
students, residents or faculty, as certified by the head of the relevant associated professional 
school; or 
(ii) Necessary to accommodate patients, staff or equipment for a specified and approved 
expansion of research activities, as certified by the head of the entity sponsoring the 
research; or 
(iii) Necessary to accommodate changes in requirements of specialty education accrediting 
bodies, as evidenced by copies of documents issued by such bodies. 

(4) Reconversion to Acute Care. Facilities redistributing beds from acute care bed capacity to 
rehabilitation or psychiatric use shall obtain a certificate of need to convert this capacity back 
to acute care. Application for such reconversion to acute care of beds converted to psychiatry or 
rehabilitation shall be evaluated against the hospital's utilization in relation to target occupancies 
used in determining need shown in 10 NCAC 3R .3030 without regard to the acute care bed need 
shown in the Rule. These target occupancies are: 

Licensed Bed Capacity Percent Occupancy 

65 
70 
75 
80 
81.5 

(5) Multi-Specialty Ambulatory Surgery. After applying other required criteria, when superiority 
among two or more competing ambulatory surgical facility certificate of need applications is 
uncertain, favorable consideration shall be given to _^multi-specialty facilities programs" over 
single ^specialty facilitie s programs" in areas where need is demonstrated in 10 NCAC 3R .3030. 
A multi-specialty ambulatory surgical facility program means a facility program providing 
services in at least three of the following areas: gynecology, otolaryngology, plastic surgery, 
general surgery, ophthalmology, orthopedicSj urology, and oral surgery. A new multi s pecialty 
An ambulatory surgical facility shall have a minimum of two operating room3, and no fewer than 
twe provide at least two designated operating rooms with general anesthesia capabilities^ and at 
least one designated recovery room . 

(6) Expansion of the Distribution of Inpatient Rehabilitation Beds System . After applying other 
required criteria, when superiority among two or more competing rehabilitation facility certificate 
of need applications is uncertain, favorable consideration shall be given to applicants proposing 
establishment of inpatient proposals that make rehabilitation programs so as to make these 
s ervice s available to the undcr s crved populations, services more accessible to patients and their 
families or are part of a comprehensive regional rehabilitation network. 

f7-) Ambulatory Surgery Need Determination Exclusion. The determination of need for ambulatory 

surgical operating rooms defined in NCAC 3R .3030(6) s hall not be considered in the review of 
an application for a certificate of need to convert existing operating rooms to a freestanding 
ambulatory s urgical facility, if submitted by a hospital de s ignated as a Rural Primary Care 
Hospital by the N. C. Office of Rural Health Services pursuant to section 1820(f) of the Social 
Security Act. 
(b) LONG-TERM CARE FACILITIES AND SERVICES. 
(1) Provision of Hospital-Based Long-Term Nursing Care. A certificate of need may be issued to 
a hospital which is licensed under G.S. 13 IE, Article 5, and which meets the conditions set forth 
below and other relevant rules, to convert up to ten beds from its licensed acute care bed capacity 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1738 



PROPOSED RULES 



for use as hospital-based long-term nursing care beds without regard to determinations of need 
in 10 NCAC 3R .3030 if the hospital: 

(A) is located in a county which was designated as non-metropolitan by the U. S. Office of 
Management and Budget on January 1 , 1993 1994 ; and 

(B) on January 1, 1993 1994 , had a licensed acute care bed capacity of 150 beds or less. 

The certificate of need shall remain in force as long as the Department of Human Resources 
determines that the hospital is meeting the conditions outlined in this Rule. 
"Hospital-based long-term nursing care" is defined as long-term nursing care provided to a 
patient who has been directly discharged from an acute care bed and cannot be immediately 
placed in a licensed nursing facility because of the unavailability of a bed appropriate for the 
individual's needs. Determination of the patient's need for hospital-based long-term nursing 
care shall be made in accordance with existing criteria and procedures for determining need for 
long-term nursing care administered by the Division of Medical Assistance and the Medicare 
program . 

Beds developed under this Rule are intended to provide placement for residents only when 
placement in other long-term care beds is unavailable in the geographic area. Hospitals which 
develop beds under this Rule shall discharge patients to other nursing facilities with available 
beds in the geographic area as soon as possible where appropriate and permissible under 
applicable law. Necessary documentation including copies of physician referral forms (FL 2) 
on all patients in hospital-based nursing units shall be made available for review upon request 
by duly authorized representatives of licensed nursing facilities. 

For purposes of this Rule, beds in hospital-based long-term nursing care shall be certified as 
a "distinct part" as defined by the Health Care Financing Administration. Beds in a "distinct 
part" shall be converted from the existing licensed bed capacity of the hospital and shall not 
be reconverted to any other category or type of bed without a certificate of need. 
An application for a certificate of need for reconverting beds to acute care shall be evaluated 
against the hospital's service needs utilizing target occupancies shown in 10 NCAC 3R 
.3050(a)(4), without regard to the acute care bed need shown in 10 NCAC 3R .3030. A 
certificate of need issued for a hospital-based long-term nursing care unit shall remain in force 
as long as the following conditions are met: 
(i) the beds shall be certified for participation in the Title XVIII (Medicare) and Title XIX 

(Medicaid) Programs; 
(ii) the hospital discharges residents to other nursing facilities in the geographic area with 

available beds when such discharge is appropriate and permissible under applicable law; 
(iii) patients admitted shall have been acutely ill inpatients of an acute hospital or its satellites 
immediately preceding placement in the unit. 
The granting of beds for hospital-based long-term nursing care shall not allow a hospital to 
convert additional beds without first obtaining a certificate of need. Where any hospital, or the 
parent corporation or entity of such hospital, any subsidiary corporation or entity of such 
hospital, or any corporation or entity related to or affiliated with such hospital by common 
ownership, control or management: 
(I) applies for and receives a certificate of need for long-term care bed need determinations 

in 10 NCAC 3R .3030; or 
(II) currently has nursing home beds licensed as a part of the hospital under G.S. 131E, 

Article 5; or 
(III) currently operates long-term care beds under the Federal Swing Bed Program (PL. 
96-499), 
such hospital shall not be eligible to apply for a certificate of need for hospital-based 
long-term care nursing beds under this Rule. Hospitals designated by the State of North 
Carolina as Rural Primary Care Hospitals pursuant to section 1820(f) of the Social Security 
Act, as amended, which have not been allocated long-term care beds under provisions of 
G.S. 13 IE 175-190, may apply to develop beds under this Rule. However, such hospitals 
shall not develop long-term care beds both to meet needs determined in 10 NCAC 3R .3030 
and this Rule. 
Beds certified as a "distinct part" under this Rule shall be noted as such in 10 NCAC 3R 



1739 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



.3000 and shall be counted in the inventory of existing long-term care beds and used in the 
calculation of unmet long-term care bed need for the general population of a planning area. 
Applications for certificates of need pursuant to this Rule shall be accepted only for the 
February 1 review cycle. Beds awarded under this Rule shall be deducted from need 
determinations for the county as shown in 10 NCAC 3R .3030. Continuation of this Rule 
shall be reviewed and approved by the Department of Human Resources annually. 
Certificates of need issued under policies analogous to this Rule in State Medical Facilities 
Plans subsequent to the 1986 Plan are automatically amended to conform with the 
provisions of this Rule at the effective date of this Rule. The Department of Human 
Resources shall monitor this program and ensure that patients affected by this Rule are 
receiving appropriate services, and that conditions under which the certificate of need was 
granted are being met. 

(2) Plan Exemption for Continuing Care Facilities. 

(A) Qualified continuing care facilities may include from the outset, or add or convert bed capacity 
for long-term nursing care without regard to the bed need shown in 10 NCAC 3R .3030. To 
qualify for such exemption, applications for certificates of need shall show that the proposed 
long-term nursing bed capacity: 

(i) {A) Will only be developed concurrently with, or subsequent to construction on the same 
site, of facilities for both of the following levels of care: 
(I) (t) independent living accommodations (apartments and homes) for persons who are able 
to carry out normal activities of daily living without assistance; such accommodations 
may be in the form of apartments, flats, houses, cottages, and rooms within a suitable 
structure; 
(II) fit) domiciliary care (home for the aged) beds for use by persons who, because of age 
or disability require some personal services, incidental medical services, and room and 
board to assure their safety and comfort. 
(ii) fB) Will be used exclusively to meet the needs of persons with whom the facility has 
continuing care contracts (in compliance with the Department of Insurance statutes and 
regulations) who have lived in a non-nursing unit of the continuing care facility for a period 
of at least 30 days. Exceptions shall be allowed when one spouse or sibling is admitted to 
the nursing unit at the time the other spouse or sibling moves into a non-nursing unit, or 
when the medical condition requiring nursing care was not known to exist or be imminent 
when the individual became a party to the continuing care contract. Financial consideration 
paid by persons purchasing a continuing care contract shall be equitable between persons 
entering at the "independent living" and "domiciliary" levels of care. 
(iii) {€-) Reflects the number of beds required to meet the current or projected needs of residents 
with whom the facility has an agreement to provide continuing care, after making use of 
all feasible alternatives to institutional nursing care. 
(iv) {©) Will not be certified for participation in the Medicaid program. 

(B) One half of the long-term nursing beds developed under this exemption shall be excluded from 
the inventory used to project bed need for the general population. Certificates of need issued 
under policies analogous to this Rule in State Medical Facilities Plans subsequent to the 1985 
SMFP are automatically amended to conform with the provisions of this Rule at the effective 
date of this Rule. Certificates of need awarded pursuant to the provisions of Chapter 920, 
Session Laws 1983, or Chapter 445, Session Laws 1985 shall not be amended except by law. 

(3) Development of Home Health Services. After applying other required criteria, when superiority 
among two or more competing home health agency or office certificate of need applications is 
uncertain, favorable consideration shall be given to proposals which: 

(A) provide an expanded scope of services (including nursing, physical therapy, speech therapy, 
and home health aide service); 

(B) provide the widest range of treatments within a given service; and 

(C) have the ability to offer services on a seven days per week basis as required to meet patient 
needs. 

(4) Need Determination Upon Termination of County's Sole Home Health Agency. When a home 
health agency's board of directors, or in the case of a public agency, the responsible public body. 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1740 



PROPOSED RULES 



votes to discontinue the agency's provision of home health services; and 

(A) the agency is the only home health agency with an office physically located in the county; and 

(B) the agency is not being lawfully transferred to another entity; 

need for a new home health agency or office in the county is thereby established through this 

Rule. 
Following receipt of written notice of such decision from the home health agency's chief 
administrative officer, the Certificate of Need Section shall give public notice of the need for one 
home health agency or office in the county, and the dates of the review of applications to meet 
the need. Such notice shall be given no less than 45 days prior to the final date for receipt of 
applications in a newspaper serving the county and to home health agencies located outside the 
county reporting serving county patients in the most recent licensure applications on file. 

(5) Availability of Dialysis Care. After applying other required criteria, when superiority among 
two or more competing dialysis facility or station certificate of need applications is uncertain, 
favorable consideration shall be given to applicants proposing to provide or arrange for: 

(A) home training and backup for patients suitable for home dialysis in the ESRD dialysis facility 
or in a facility that is a reasonable distance from the patient's residence; 

(B) ESRD dialysis service availability at times that do not interfere with ESRD patients' work 
schedules; 

(C) services in rural, remote areas. 

(6) Need for an Additional Home Health Agency Office Within an Existing Home Health Service 
Area. When an existing home health agency is serving 150 home health patients or more on an 
annual basis (as documented on the agency's 1993 most recent license renewal application or as 
documented and certified by the agency for a 12 month period to the satisfaction of the Division 
of Facility Services ) in a county in its authorized service area as defined in 10 NCAC 3R .0320 
in which the agency has no home health office, the agency shall be allowed to apply for a CON 
to open a home health agency office within that county. Such application must document to the 
satisfaction of the Certificate of Need Section that the additional home health agency office will 
provide improved client service at a lower cost. The additional home health agency office shall 
only be allowed to provide services within the agency's authorized service area. No applications 
shall be received under this provision for additional home health agency offices in counties 
outside of a home health agency's authorized service area or for any county within the service 
area where the agency already has one or more home health agency offices or where the agency 
is not serving at least 150 home health patients on an annual basis. This Rule shall allow no 
expansion of home health services outside of the agency's service area as defined by 10 NCAC 
3R .0320. 

(c) MENTAL HEALTH FACILITIES AND SERVICES. 

( 1 ) Appropriate Provision of Care. Hospitalization shall be considered the most restrictive form of 
therapeutic intervention or treatment and shall be used only when this level of 24-hour care and 
supervision is required to meet the patient's health care needs. 

(2) Linkages Between Treatment Settings. Anyone applying for a certificate of need for psychiatric, 
ICF/MR or substance abuse beds shall document that the affected area mental health, 
developmental disabilities and substance abuse authorities have been contacted and invited to 
comment on the proposed services, relative to their endorsement of the project and involvement 
in the development of a client admission and discharge agreement. 

(3) Transfer of Beds from State Psychiatric Hospitals to Community Facilities. Beds in the State 
psychiatric hospitals used to serve short-term psychiatric patients may be relocated to community 
facilities. However, before beds are transferred out of the State psychiatric hospitals, appropriate 
services and programs shall be available in the community. The process of transferring beds 
shall not result in a net change in the number of psychiatric beds available, but rather in the 
location of beds counted in the existing inventory. State hospital beds which are relocated to 
community facilities shall be closed within ninety days following the date the transferred beds 
become operational in the community. Facilities proposing to operate transferred beds shall 
commit to serve the type of short-term patients normally placed at the State psychiatric hospitals. 
To help ensure that relocated beds will serve those persons who would have been served by the 
State psychiatric hospitals, a proposal to transfer beds from a State hospital shall include a 



1741 8:18 NORTH CAROLINA REGISTER December IS, 1993 



PROPOSED RULES 



written memorandum of agreement between the area MH/DD/SAS program serving the county 
where the beds are to be located, the Secretary of Human Resources, and the person submitting 
the proposal. 

(4) Inpatient Psychiatric Services for Children and Adolescents. Inpatient psychiatric treatment of 
children and adolescents which is more extensive than stabilization shall occur in units which are 
separate and distinct from both adult psychiatric units and general pediatric units. In order to 
maximize efficiency and ensure the availability of a continuum of care, psychiatric beds for 
children and adolescents shall be developed in conjunction with outpatient treatment programs. 

(§} Adju s tment to Psychiatric Bed Allocation s . — The Medical Facilities Planning Section shall reduce 

any psychiatric bed need determination s for any affected planning area by the number of beds 
permitted by the provisions of G.S. 131 E 18 4 (c) contracted subsequent to the preparation of any 
need determination shown in 10 NCAC 3R .3030 and prior to the beginning of the review period 
for which an application i s s ubmitted. 

(5) f6) Involuntarily Committed Patients. All certificate of need applications for psychiatric beds 
shall indicate the proponents' willingness to be designated to serve involuntarily committed 
patients. 

(6) f7) Substance Abuse Programs to Treat Adolescents. Adolescents shall receive substance abuse 
treatment services that are distinct from services provided to adults. 

(7) f&) Determination of Intermediate Care Bed Need for Mentally Retarded/Developmentally 
Disabled Persons. After applying other required criteria, when superiority among two or more 
competing ICF/MR certificate of need applications is uncertain, favorable consideration shall be 
given to counties that do not have ICF/MR group homes when such counties are part of a 
multi-county area for which a need is shown in 10 NCAC 3R .3030. 

(8) (9) Transfer of Beds from State Mental Retardation Centers. Facilities proposing to transfer 
ICF/MR beds from State mental retardation centers to communities shall demonstrate that they 
are committed to serving the same type of residents normally served in the State mental 
retardation centers. To ensure that relocated beds will serve those persons, any certificate of 
need application for beds allocated under the above policy must meet the requirements of Chapter 
858 of the 1983 Session Laws. The application for transferred beds shall include a written 
agreement by the applicant with the following representatives which outlines the operational 
aspects of the bed transfers: Director of the Area MH/DD/SAS Program serving the county 
where the program is to be located; the Director of the applicable State Mental Retardation 
Center; the Chief of Developmental Disability Services in the DMH/DD/SAS; and the Secretary 
of the Department of Human Resources. 



Statutory Authority G.S. 1 31 E-l 76(25); 131E-177(1); 131E-183(1). 



IXeason for Proposed Action: Rule necessary to 

, j continue Return of Equity payments to Nursing 

[Sotice is hereby given in accordance with G.S. Facilities. 

150B-21.2 that the DHR/Division of Medical 

Assistance intends to amend rule cited as 10 NCAC /~* , .... 

Ksomment Procedures: Written comments con- 
26H .0105. 

cerning this amendment must be submitted by 

rr, January 18, 1994, to: Division of Medical Assis- 

Ihe proposed effective date of this action is tance< 7955 Umstead Drive, Raleigh, NC 27603 

March 1, 1994. ATTN: Clarence Ervin, APA Coordinator. Oral 

comments may be presented at the hearing. In 

J\ ... , • .„ , j . , . , ~ n addition, a fiscal impact statement is available 

he public hearing will be conducted at 1:30 J ; 

upon written request from the same address, 
p.m. on January 18, 1994 at the North Carolina 

Division of Medical Assistance, 1985 Umstead CHAPTER 26 - MEDICAL ASSISTANCE 

Drive, Room 132, Raleigh, NC 27603. 

SUBCHAPTER 26H - REIMBURSEMENT 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1742 



PROPOSED RULES 



PLANS 

SECTION .0100 - REIMBURSEMENT FOR 
NURSING FACILITY SERVICES 



Authority G.S. 108A-25(b); 108A-54; 108A-55; S. 
L. 1985, c. 479. s. 86; 42 C.ER. 447, Subpart C. 



% :jc >fi %: % 



St 3K SjC 



J-! ifi % J"C i< 



.0105 RETURN ON EQUITY 

(a) In addition to the prospective rates described 
in Rule .0104. proprietary providers are eligible to 
receive a return on equity capital payment each 
year. 

(b) The rate of return shall equal the lower of 
11.875 percent or the intere s t rate for the return 
on equity paid to Skilled Nursing Facilities by the 
Medicare Program for the appropriate cost report 
ing period. Effective October _L 1993. the rate of 
return shall equal the lower of 6. 125 percent or the 
published interest rate for the cost report period as 
prepared by the Office of the Actuary'. Health Care 
Financing Administration for Proprietary' Skilled 
Nursing Facilities. This reimbursement limitation 
shall become effective in accordance with the 
provisions of G.S. 108A-55(c). 

(c) The rate is calculated on a capital base 
determine to be the total assets of the provider, its 
related home office, if any. that are required to 
provide nursing care less related liabilities. The 
value of the fixed assets is the historical cost less 
accumulated depreciation of buildings and im- 
provements, all equipment, and vehicles. Leases 
and direct capitalized expenditures are not to be 
included in this calculation. Working capital shall 
not be recognized beyond a level equal to 16.5 
percent of the facility's total annual cost. 

(d) Liabilities must include all liabilities related 
to the assets of the facility regardless of nature or 
named payor. If the state determines that the 
liability has been incurred to acquire an asset 
named on the balance sheet that liability shall be 
counted. 

(e) Providers have a positive obligation to 
identify all liabilities that may bear upon reported 
assets. Failure to disclose a liability later deter- 
mined to be related to a reported asset shall result 
in a suspension of Return on Equity payments for 
the year(s) in which the failure occurred and up to 
five additional years at the discretion of the state. 
If the state determines that the provider's failure to 
report a related liability was an unintentional 
oversight, the potential five year penalty shall not 
be applied. 

(f) The value of assets and related capital indebt- 
edness when asset ownership changes shall be 
established in conformance with the provisions of 
Rule .0104(c). 



iSotice is hereby- given in accordance with G.S. 
150B-21.2 that the Social Services Commission 
intends to repeal rule cited as 10 NCAC 42 A 
.0310. 

1 he proposed effective date is March 1 . 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 14, 1994 at the Albemarle Build- 
ing, Room 844, 325 North Salisbury Street, 
Raleigh, NC 27603-5905. 

IXeason for Proposed Action: To eliminate a rule 
governing Foster Care Services to Adults, since 
rules governing Adult Placement Services will 
replace Foster Care Services to Adults. 

Lsomment Procedures: Comments may be pre- 
sented in writing anytime before or at the public 
hearing or orally at the hearing. Time limits for 
oral remarks may be imposed by the Commission 
Chairman. Any- person may request copies of this 
rule by calling or writing to Sharnese Ransome, 
Division of Social Services, 325 N. Salisbury- 
Street, Raleigh, NC 27603-5905, (919) 733-3055. 

CHAPTER 42 - INDIVIDUAL 
AND FAMILY SUPPORT 

SUBCHAPTER 42A - ADULT 
PLACEMENT SERVICES 

SECTION .0300 - FOSTER CARE 
SERVICES FOR ADULTS 

.0310 USE OF DOMICILIARY 

HOMES LN OTHER COUNTIES 

faj — Plac e m e nt in a lic e n se d domiciliary hom e 
mad e by on e county in anoth e r county is mad e 
through th e county departm e nt of s ocial se rvic es 
wh e r e the home i s locat e d. — Th e plan i s work e d 
e«t — b e tw e en — the — county — departm e nt — of social 
se rvic es wh e r e th e hom e is locat e d and th e admin 
istrator on th e basis of full social and m e dical 
information. — Th e r e must b e a d e finit e agr ee m e nt 
about th e plan and mutual r es ponsibilities b e tween 
th e two counti e s b e for e admission is mad e . 



1743 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



{&) — Form s FL 2 or MR 2 (medical forms) and 
DSS 1865 (resident regi s ter) arc sent to the home 
prior to or at the time of admi ss ion and to the 
county department of social service s s upervi s ing 
the home. 

{e) — The county of legal residence requests the 
county s upervising the home to as s ume rc s pon s ibil 
ity for providing placement s ervices to re s idents 
being placed in the supervi s ing county, reviewing 
the need for s ervices und e r Title XX of the Social 
Security Act in addition to foster care services and 
reporting back to the county of legal re s idence, a s 
needed . 

{4) — Workers may not contact homes in other 
counties directly regarding admi s sion s . — After a 
resident is plac e d, counties may reach an agree 
ment about contacts. 

fe) — Since the county of legal re s idence retains 
the re s pon s ibility for providing — financial — assis 
tanec, it will be respon si ble for planning for new 
living arrangements for the resident, if the need 
should arise, and will maintain an open income 
maintenance case so long as financial assistance is 
provided. — With regard to s ervic es , the ca s e will 
frequently be open in more than one county at the 
same time. 

ff) — It must be remembered that a resident of a 
group home ha s the right to accept or decline 
services. — Therefore, after the initial foster care 
s ervice s arc completed to the sati s faction of th e 
client and his family, the ca s e might be closed for 

services — m — both — countie s . The — ease — w+H — be 

re opened by the appropriate county when a new 
request for services is initiated. — If the request 
involve s planning for new living arrangements, the 
county of legal re s idence would be respon s ible. 

fg-) — When county department of social services 
is making plan s for a resident to go to a home in 
another county, the department of s ocial serv i ces 
of the county in which the home is located and th e 
administrator of the home shall know in advance 
the plan for tran s portation and the time of arrival. 
If the placement i s arranged by relative s without 
the knowledge of the county departments of social 
services and later the county department i s ap 
proached for financial — assistance, thi s is to be 
provided by the county from which the client was 
placed. 

Statutory Authority G.S. 143B-153. 

TITLE 13 - DEPARTMENT OF LABOR 

Notice is hereby given in accordance with G.S. 150B-21.2 that the N.C. Department of Labor intends to 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1744 



PROPOSED RULES 



amend rules cited as 13 NCAC 7F .0101 and .0401. 

1 he proposed effective date of this action is March 1 , 1994 

1 he public hearing will be conducted at 10:00 a.m. on January 5, 1994 at the Seaboard Building, 
Conference Room, 413 N. Salisbury Street, Raleigh, NC 27603. 

treason for Proposed Action: 

13 NCAC 7F .0101 - Update of exposure le\>els reflecting new research since 1971: proposed levels are 

consistent with le\'els proposed by federal OSHA. 

13 NCAC 7F .0401 - Correction to obvious typographical error. 

(comment Procedures: Persons wanting to present oral testimony at the hearing should provide a written 
summary of the proposed testimony to the Department within three business days prior to the hearing date. 
Written conunents will be accepted until January 15, 1994. Direct all correspondence to Jill F. Cramer, 
NCDOL/OSH, 413 N. Salisbury Street, Raleigh, NC 27603-5942. 

CHAPTER 7 - OSHA 

SUBCHAPTER 7F - STANDARDS 

SECTION .0100 - GENERAL LNDUSTRY STANDARDS 

.0101 GENERAL LNDUSTRY 

(a) The provisions for the Occupational Safety and Health Standards for General Industry, Title 29 of the 
Code of Federal Regulations Part 1910, are adopted by reference except #rat as follows: 

(1) within Subpart H - Hazardous Materials, 29 CFR 1910.120, Hazardous waste operations and 
emergency response, §1910. 120(q)(6) is amended by adding a new level of training: 

"(vi) First responder operations plus level. First responders at operations plus level are 
individuals who respond to hydrocarbon fuel tank leaks where the leaking tanks contain a 
hydrocarbon fuel which is used to propel the vehicle on which the tank is located. Only those 
vehicles designed for highway use or those used for industrial, agricultural or construction purposes 
are covered. First responders at the operations plus level shall have received at least training equal 
to first responder operations level and. in addition, shall receive training or have had sufficient 
experience to objectively demonstrate competency in the following areas and the employer shall so 
certif\ : 

(A) Know how to select and use proper specialized personal protective equipment provided to the 
first responder at operations plus level; 

(B) Understand basic hazardous materials terms as they pertain to hydrocarbon fuels; 

(C) Understand hazard and risk assessment techniques that pertain to gasoline, diesel fuel, propane 
and other hydrocarbon fuels; 

(D) Be able to perform control, containment, and/or confinement operations for gasoline, diesel 
fuel, propane and other hydrocarbon fuels within the capabilities of the available resources and 
personal protective equipment; and 

(E) Understand and know how to implement decontamination procedures for hydrocarbon fuels." 

(2) Subpart Z — Toxic and Hazardous Substances, 29 CFR 1910. 1000, Air Contaminants: 
Re-adoption of revised permissible exposure limits as originally published in 54 FR (January 19, 
1989) pages 2496 -2533 and pages 2668 - 2695 as follows: 



1745 8:18 NORTH CAROLINA REGISTER December 15, 1993 



PROPOSED RULES 



RESPIRATORY EFFECTS 



Chemical Name 


CAS No. 


Aluminum 


7429-90-5 


Bismuth telluride, Undoped 


1304-82-1 


Chlorine dioxide 


10049-04-4 


Chromium metal (as Cr) 


7440-47-3 


Coal Dust (<5% quartz) Resp. fraction 


None 


Coal Dust (>5% quartz) 


None 


Respirable quartz fraction 




Ethvl acrvlate 


140-88-5 


Ferrovanadium dust 


12604-58-9 


Grain Dust (oat, wheat, barlev) 


None 


Graphite, natural, Resp. Dust 


7782-42-5 


Indium & compounds (as In) 


7440-74-6 


Iron oxide (dust & fume) 


1309-37-1 


Methylene bis 


5124-30-1 


(4-Cyclohexvlisocvanate) 




Mica, Respirable Dust 


12001-26-2 


Nitrogen dioxide 


10102-44-0 


Oxveen difiuoride 


7783-41-7 


Ozone 


10028-15-6 


Paraquat, Respirable Dust 


4685-14-7 


Silica, crystalline 


14464-46-1 


cristobalite, Respirable Dust 




Silica, crystalline quartz. 


14808-60-7 


Respirable Dust 




Silica, crystalline 


15468-32-3 


tridymite, Respirable Dust 




Silica, crystalline tripoli 


1317-95-9 


(as quartz) Respirable Dust 




Silica, fused, Respirable Dust 


60676-86-0 


Soapstone, total dust 


None 


Soapstone, Respirable Dust 


None 


Sulfur dioxide 


7446-09-5 


Sulfur tetrafluoride 


7783-60-0 


Talc (containing no asbestos) 


14807-96-6 


Respirable Dust 




Tin oxide (as Sn) 


7440-31-5 


Trimellitic anhydride 


552-30-7 


Wood dust, hard 


None 


Wood dust, soft 


None 


Wood dust, allergenic 


None 


(Western Red Cedar) 





PEL 

15 mg/m 3 TWA Total Dust 
5 mg/m'TWA Resp. fraction 
15 mg/m' TWA Total Dust 
5 mg/m 3 TWA Resp. fraction 
0.1 ppm TWA 
0.3 ppm STEL 

1 mg/m 3 TWA 

2 mg/m 3 TWA 
0.1 mg/m 3 TWA 

5ppm TWA 

25 ppm STEL, Skin 

1 mg/m 3 TWA 

3 mg/m 3 STEL 
10 mg/m' TWA 
2.5 mg/m 3 TWA 
0. 1 mg/m 3 TWA 
10 mg/m' TWA 
0.01 ppm Ceiling 



Skin 



3 mg/m' TWA 

1 ppm STEL 
0.05 ppm Ceiling 
0.1 ppm TWA 
0.3 ppm STEL 

0.1 mg/m' TWA, Skin 
0.05 mg/m' TWA 

0.1 mg/m 3 TWA 

0.05mg/m' TWA 

0.1 mg/m' TWA 

0. 1 mg/m 3 TWA 
6 mg/m 3 TWA 
3 mg/m 3 TWA 

2 ppm TWA 
5 ppm STEL 

0. 1 ppm Ceiling 
2 mg/m' TWA 

2 mg/m 3 TWA 
0.005 ppm TWA 
5 mg/m 3 TWA 
10 mg/m' STEL 
5 mg/m' TWA 
10 mg/m 3 STEL 
2.5 mg/m 3 TWA 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1746 



PROPOSED RULES 



Chemical Name 

Aerylamide 

Amitrole 

Carbon tetrachloride 

Chloroform 

Chromic acid 

Dimethyl sulfate 

2-Nitropropane 

Perchloroethylene 

o-Toluidine 

p-Toluidine 

Vinyl bromide 

Vinyl cyclohexene dioxide 



AVOIDANCE OF CANCER 



CAS No. 



79-06-1 

61-82-5 

56-23-5 

67-66-3 

1333-82-0 

77-78-1 

79-46-9 

127-18-4 

95-53-4 

106-49-0 

593-60-2 

106-87-6 



PEL 

0.03mg/m 3 TWA, Skin 

0.2 mg/m 3 TWA 

2 ppm TWA 

2 ppm TWA 

0. 1 mg/m' Ceiling 

0.1 ppm TWA. Skin 

10 ppm TWA 

25 rjjjm TWA 

5 ppm TWA. Skin 

2 ppm TWA. Skin 

5 ppm TWA 

10 ppm TWA. Skin. " 



(b) The parts of the Code of Federal Regulations incorporated by reference in this Subchapter shall not 
automatically include any subsequent amendments thereto, except as follows: 

(1) Subpart J — General Environmental Controls — typographical and clarifying corrections at 
1910. 146. Permit- Required Confined Spaces, published in 58 FR (June 29. 1993) pages 34844 - 

34851 and adopted by the North Carolina Department of Labor on September 24, 1993; 
corrections are to final rule for Permit-Required Confined Spaces as originally published in 58 
FR 4462 (January 14. 1993). 

(2) Subpart Z — Toxic and Hazardous Substances: 

(A) evocation of exposure limits in "Final rule limits" columns of Table Z-l-A at 1910.1000, Air 
Contaminants, published in 58 FR (June 30, 1993) pages 35338 - 35351 and adopted by the 
North Carolina Department of Labor on September 24, 1993. 

(B) Typographical and technical corrections at 1910.1027, Cadmium, published in 58 FR (April 
23. 1993) pages 21778 - 21787 and adopted by the North Carolina Department of Labor on 
September 24. 1993; corrections are to final rule for Occupational Exposure to Cadmium as 
originally published in 57 FR 42101 (September 14, 1992). 

(c) Copies of the applicable Code of Federal Regulations sections referred to in this Subchapter are 
available to the public. Please refer to 13 NCAC 7A.0302 for the costs involved and from whom copies may 
be obtained. 

Statutory- Authority G.S. 95-131; 95-133; 150B-21.6. 

SECTION .0400 - SHOPS FABRICATING 
STRUCTURAL STEEL AND STEEL PLATE 

.0401 GENERAL REQUIREMENTS 

(a) Application. This standard establishes safety requirements for handling, storing, preparing, fitting, 
fastening, and shipping structural and plate steel at fabricated structural steel fabricating shops of firms 
primarily engaged in fabricating structural steel and steel plate. This standard does not apply to businesses 
where fabrication of structural steel and steel plate is incidental to the principal business, or to the final 
in-place field erection site. 

(b) Incorporated Standards. Standards concerning issues of occupational safety and health which are of 
general application without regard to this or any specific industry are incorporated herein as set forth in Part 
1910 - Occupational Safety and Health Standards, Code of Federal Regulations Title 29, Chapter XVII, 
June 27, 297 4 1974 , and its amendments. 

Statutory' Authority G.S. 95-131. 



1747 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



TITLE 15A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Environmental Man- 
agement Commission intends to amend rule cited 
as 15A NCAC 2B .0211; repeal rules cited as 15 A 
NCAC2H .0301 - .0306. 

1 he proposed effective date of this action is 
March 1. 1994. 

Instructions on How to Demand a Public Hearing 
(must be requested in writing within 15 days of 
notice): Any person requesting that the Environ- 
mental Management Commission conduct a public 
hearing on these proposed rules must submit a 
written request to Suzanne Keen, Division of 
Environmental Management, Vbter Quality, P.O. 
Box 29535, Raleigh, NC 27626-0535 by January 
1 , 1994. Mailed written requests must be post- 
marked no later than January 1 , 1994. 

Reason for Proposed Action: 
15 A NCAC 2B .0211 - The purpose of this amend- 
ment is to correct a clerical error make in a 
previous filing. 

15A NCAC 2H .0301 - .0306 - On July 14, 1992 
the North Carolina General Statutes were modified 
to transfer the authority for most subsurface 
systems previously permitted by the Division of 
Environmental Management (DEM) to local health 
departments. This repeal removes rules that have 
been made obsolete by other legislative and rule 
changes. 

Ksomment Procedures: All persons interested in 
this proposed amendment is encouraged to submit 
written comments. Comments must be postmarked 
by January 15, 1994 and submitted to Suzanne 
Keen, Division of Environmental Management, 
Water Quality, P.O. Box 29535, Raleigh, NC 
27626-0535. 

CHAPTER 2 - ENVIRONMENTAL 
MANAGEMENT 

SUBCHAPTER 2B - SURFACE 

WATER STANDARDS: 

MONITORING 



SECTION .0200 - CLASSIFICATIONS 

AND WATER QUALITY STANDARDS 

APPLICABLE TO SURFACE WATERS 

OF NORTH CAROLINA 

.0211 FRESH SURFACE WATER 
CLASSIFICATIONS AND 
STANDARDS 

(a) General. The water quality standards for all 
fresh surface waters are the basic standards appli- 
cable to Class C waters. Additional and more 
stringent standards applicable to other specific 
freshwater classifications are specified in Para- 
graphs (c) through (f) of this Rule. 

(b) All fresh surface waters (Class C). 

(1) Best Usage of Waters. Aquatic life 
propagation and maintenance of biologi- 
cal integrity (including fishing, and 
fish), wildlife, secondary recreation, 
agriculture and any other usage except 
for primary recreation or as a source of 
water supply for drinking, culinary or 
food processing purposes; 

(2) Conditions Related to Best Usage. The 
waters will be suitable for aquatic life 
propagation and maintenance of biologi- 
cal integrity, wildlife, secondary recre- 
ation, and agriculture; sources of water 
pollution which preclude any of these 
uses on either a short-term or long-term 
basis will be considered to be violating 
a water quality standard; 

(3) Quality standards applicable to all fresh 
surface waters: 

(A) Chlorophyll a (corrected): not greater 
than 40 ug/1 for lakes, reservoirs, and 
other slow-moving waters not desig- 
nated as trout waters, and not greater 
than 15 ug/1 for lakes, reservoirs, and 
other slow-moving waters designated 
as trout waters (not applicable to lakes 
and reservoirs less than ten acres in 
surface area); the Commission or its 
designee may prohibit or limit any 
discharge of waste into surface waters 
if, in the opinion of the Director, the 
surface waters experience or the 
discharge would result in growths of 
microscopic or macroscopic vegeta- 
tion such that the standards estab- 
lished pursuant to this Rule would be 
violated or the intended best usage of 
the waters would be impaired; 

(B) Dissolved oxygen: not less than 6.0 
mg/1 for trout waters; for non-trout 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1748 



PROPOSED RULES 



waters, not less than a daily average 
of 5.0 mg/1 with a minimum instanta- 
neous value of not less than 4.0 mg/1; 
swamp waters, lake coves or backwat- 
ers, and lake bottom waters may have 
lower values if caused by natural 
conditions; 

(C) Floating solids; settleable solids; 
sludge deposits: only such amounts 
attributable to sewage, industrial 
wastes or other wastes as will not 
make the water unsafe or unsuitable 
for aquatic life and wildlife or impair 
the waters for any designated uses; 

(D) Gases, total dissolved: not greater 
than 1 10 percent of saturation; 

(E) Organisms of the coliform group: 
fecal coliforms not to exceed a geo- 
metric mean of 200/ 100ml (MF 
count) based upon at least five con- 
secutive samples examined during any 
30 day period; nor exceed 400/ 100ml 
in more than 20 percent of the sam- 
ples examined during such period; 
violations of the fecal coliform stan- 
dard are expected during rainfall 
events and, in some cases, this viola- 
tion is expected to be caused by un- 
controllable nonpoint source pollu- 
tion; all coliform concentrations are to 
be analyzed using the membrane filter 
technique unless high turbidity or 
other adverse conditions necessitate 
the tube dilution method; in case of 
controversy over results, the MPN 
5-tube dilution technique will be used 
as the reference method; 

(F) Oils; deleterious substances; colored 
or other wastes: only such amounts as 
will not render the waters injurious to 
public health, secondary recreation or 
to aquatic life and wildlife or adverse- 
ly affect the palatability of fish, aes- 
thetic quality or impair the waters for 
any designated uses; for the purpose 
of implementing this Rule, oils, dele- 
terious substances, colored or other 
wastes will include but not be limited 
to substances that cause a film or 
sheen upon or discoloration of the 
surface of the water or adjoining 
shorelines pursuant to 40 CFR 
1 10.4(a)-(b) which are hereby 
incorporated by reference including 
any subsequent amendments and 



additions. This material is available 
for inspection at the Department of 
Environment, Health, and Natural 
Resources, Division of Environmental 
Management, 512 North Salisbury 
Street, Raleigh, North Carolina. 
Copies may be obtained from the 
Superintendent of Documents, U.S. 
Government Printing Office, 
Washington, DC. 20402-9325 at a 
cost of thirteen dollars ($13.00). 
(G) pH: shall be normal for the waters in 
the area, which generally shall range 
between 6.0 and 9.0 except that 
swamp waters may have a pH as low 
as 4.3 if it is the result of natural 
conditions; 
(H) Phenolic compounds: only such levels 
as will not result in fish-flesh tainting 
or impairment of other best usage; 
(I) Radioactive substances: 

(i) Combined radium-226 and 

radium-228: the maximum 

average annual activity level 

(based on at least four samples 

collected quarterly) for combined 

radium-226 and radium-228 shall 

not exceed five picoCuries per 

liter; 

(ii) Alpha Emitters: the average 

annual gross alpha particle 

activity (including radium-226, 

but excluding radon and uranium) 

shall not exceed 15 picoCuries per 

liter; 

(iii) Beta Emitters: the maximum 

average annual activity level 

(based on at least four samples, 

collected quarterly) for 

strontium-90 shall not exceed 

eight picoCuries per liter; nor 

shall the average annual gross 

beta particle activity (excluding 

potassium-40 and other naturally 

occurring radio-nuclides) exceed 

50 picoCuries per liter; nor shall 

the maximum average annual 

activity level for tritium exceed 

20,000 picoCuries per liter; 

(J) Temperature: not to exceed 2.8 

degrees C (5.04 degrees F) above the 

natural water temperature, and in no 

case to exceed 29 degrees C (84.2 

degrees F) for mountain and upper 

piedmont waters and 32 degrees C 



1749 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



I 



) 



> 



(89.6 degrees F) for lower piedmont 

and coastal plain waters. The 

temperature for trout waters shall not 

be increased by more than 0.5 

degrees C (0.9 degrees F) due to the 

discharge of heated liquids, but in no 

case to exceed 20 degrees C (68 

degrees F); 

(K) Turbidity: the turbidity in the 

receiving water will not exceed 50 

Nephelometric Turbidity Units (NTU) 

in streams not designated as trout 

waters and 10 NTU in streams, lakes 

or reservoirs designated as trout 

waters; for lakes and reservoirs not 

designated as trout waters, the 

turbidity will not exceed 25 NTU; if 

turbidity exceeds these levels due to 

natural background conditions, the 

existing turbidity level cannot be 

increased. Compliance with this 

turbidity standard can be met when 

land management activities employ 

Best Management Practices (BMPs) 

[as defined by Rule .0202(6) of this 

Section] recommended by the 

Designated Nonpoint Source Agency 

[as defined by Rule .0202 of this 

Section]. BMPs must be in full 

compliance with all specifications 

governing the proper design, 

installation, operation and 

maintenance of such BMPs; 

(L) Toxic substances: numerical water 

quality standards (maximum 

permissible levels) to protect aquatic 

life applicable to all fresh surface 

waters: 

(i) Arsenic: 50 ug/1; 

(ii) Beryllium: 6.5 ug/1; 

(iii) Cadmium: 0.4 ug/1 for trout 

waters and 2.0 ug/1 for non-trout 

waters; 

(iv) Chlorine, total residual: 17 ug/1 

for trout waters (Tr); (Action 

Level of 17 ug/1 for all waters not 

classified as trout waters (Tr); see 

Paragraph (b)(4) of this Rule); 

(v) Chromium, total recoverable: 50 

ug/1; 
(vi) Cyanide: 5.0 ug/1; 
(vii) Fluorides: 1.8 mg/l; 
(viii) Lead, total recoverable: 25 ug/1; 
collection of data on sources, 
transport and fate of lead will be 



required as part of the toxicity 
reduction evaluation for 
dischargers that are out of 
compliance with whole effluent 
toxicity testing requirements and 
the concentration of lead in the 
effluent is concomitantly 
determined to exceed an instream 
level of 3.1 ug/1 from the 
discharge; 

(ix) MBAS (Methylene-Blue Active 
Substances): 0.5 mg/l; 

(x) Mercury: 0.012 ug/1; 

(xi) Nickel: 88 ug/1; 
(xii) Pesticides: 

(I) Aldrin: 0.002 ug/1; 
(II) Chlordane: 0.004 ug/1; 

(III) DDT: 0.001 ug/1; 

(IV) Demeton: 0.1 ug/1; 
(V) Dieldrin: 0.002 ug/1; 

(VI) Endosulfen: 0.05 ug/1; 
(VII) Endrin: 0.002 ug/1; 
(VIII) Guthion: 0.01 ug/1; 
(IX) Heptachlor: 0.004 ug/1; 
(X) Lindane: 0.01 ug/1; 
(XI) Methoxychlor: 0.03 ug/1; 
(XII) Mirex: 0.001 ug/1; 

(XIII) Parathion: 0.013 ug/1; 

(XIV) Toxaphene: 0.0002 ug/1; 
(xiii) Polychlorinated biphenyls: 0.001 

ug/1; 
(xiv) Selenium: 5 ug/1; 
(xv) Toluene: 11 ug/1 or 0.36 ug/1 in 

trout waters; 
(xvi) Trialkyltin compounds: 0.008 

ug/1 expressed as tributyltin. 
(4) Action Levels for Toxic Substances: if 
the Action Levels for any of the 
substances listed in this Subparagraph 
(which are generally not 
bioaccumulative and have variable 
toxicity to aquatic life because of 
chemical form, solubility, stream 
characteristics or associated waste 
characteristics) are determined by the 
waste load allocation to be exceeded in 
a receiving water by a discharge under 
the specified low flow criterion for 
toxic substances (Rule .0206 in this 
Section), the discharger will be required 
to monitor the chemical or biological 
effects of the discharge; efforts shall be 
made by all dischargers to reduce or 
eliminate these substances from their 
effluents. Those substances for which 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1750 



PROPOSED RULES 



Action Levels are listed in this 
Subparagraph will be limited as 
appropriate in the NPDES permit based 
on the Action Levels listed in this 
Subparagraph if sufficient information 
(to be determined for metals by 
measurements of that portion of the 
dissolved instream concentration of the 
Action Level parameter attributable to 
a specific NPDES permitted discharge) 
exists to indicate that any of those 
substances may be a significant 
causative factor resulting in toxicity of 
the effluent; 

(A) Copper: 7 ug/1; 

(B) Iron: 1.0mg/l; 

(C) Silver: 0.06 ug/1; 

(D) Zinc: 50 ug/1; 

(E) Chloride: 230 mg/1; 

(F) Chlorine, total residual: 17 ug/1 in all 
waters except trout waters (Tr); [a 
standard of 17 ug/1 exists for waters 
classified as trout waters and is 
applicable as such to all dischargers to 
trout waters; see Subparagraph 
(b)(3)(L)(iv) of this Rule]; 

For purposes other than consideration of NPDES 
permitting of point source discharges as described 
in this Subparagraph, the Action Levels in this 
Rule, as measured by an appropriate analytical 
technique, will be considered as numerical ambient 
water quality standards, 
(c) Class WS-I Waters. 

(1) Best Usage of Waters. Source of water 
supply for drinking, culinary, or 
food-processing purposes for those 
users desiring maximum protection of 
their water supplies, and any best usage 
specified for Class C waters; 

(2) Conditions Related to the Best Usage. 
Waters of this class are protected water 
supplies within essentially natural and 
undeveloped watersheds with no 
permitted point source dischargers 
except those specified in Rule .0104 of 
this Subchapter; waters within this class 
must be relatively unimpacted by 
nonpoint sources of pollution; land use 
management programs are required to 
protect waters from nonpoint source 
pollution; the waters, following 
treatment required by the Division of 
Environmental Health, will meet the 
Maximum Contaminant Level 
concentrations considered safe for 



drinking, culinary, and food-processing 
purposes which are specified in the 
national drinking water regulations and 
in the North Carolina Rules Governing 
Public Water Supplies, 15A NCAC 
18C .1500; sources of water pollution 
which preclude any of these uses on 
either a short-term or long-term basis 
will be considered to be violating a 
water quality standard. The Class WS-I 
classification may be used to protect 
portions of Class WS-II, WS-III and 
WS-IV water supplies. For 

reclassifications occurring after the July 
1, 1992 statewide reclassification, the 
more protective classification requested 
by local governments will be considered 
by the Commission when all local 
governments having jurisdiction in the 
affected area(s) have adopted a 
resolution and effective appropriate 
ordinances to protect the watershed or 
the Commission acts to protect a 
watershed when one or more local 
governments has failed to adopt 
necessary protection measures. 
(3) Quality Standards Applicable to Class 
WS-I Waters: 

(A) Nonpoint Source Pollution: none that 
would adversely impact the waters for 
use as a water supply or any other 
designated use; 

(B) Organisms of coliform group: total 
coliforms not to exceed 50/100 ml 
(MF count) as a monthly geometric 
mean value in watersheds serving as 
unfiltered water supplies; 

(C) Phenolic compounds: not greater than 
1.0 ug/1 (phenols) to protect water 
supplies from taste and odor problems 
from chlorinated phenols; 

(D) Sewage, industrial wastes: none 
except those specified in 
Subparagraph (2) of this Paragraph; 
or Rule .0104 of this Subchapter; 

(E) Solids, total dissolved: not greater 
than 500 mg/1; 

(F) Total hardness: not greater than 100 
mg/1 as calcium carbonate; 

(G) Toxic and other deleterious 
substances: 

(i) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 



1751 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



I 



> 



> 



and fish tissue consumption for 
non-carcinogens in Class WS-I 
waters : 
(I) Barium: 1.0mg/l; 
(II) Chloride: 250 mg/1; 
(HI) Manganese: 200 ug/1; 
(IV) Nickel: 25 ug/1; 
(V) Nitrate nitrogen: 10.0 mg/1; 
(VI) 2,4-D: 100 ug/1; 
(VII) 2,4,5-TP (Silvex): 10 ug/1; 
(VIII) Sulfates: 250 mg/1; 
(ii) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
carcinogens in Class WS-I waters: 
(I) Beryllium: 6.8 ng/1; 
(II) Benzene: 1.19 ug/1; 

(III) Carbon tetrachloride: 0.254 
ug/1; 

(IV) Chlorinated benzenes: 488 
ug/1; 

(V) Dioxin: 0.000013 ng/1; 
(VI) Hexachlorobutadiene: 0.445 

ug/1; 
(VII) Polynuclear aromatic 

hydrocarbons: 2.8 ng/1; 
(VIII) Tetrachloroethane (1,1,2,2): 
0.172 ug/1; 
(IX) Tetrachloroethylene: 0.8 ug/1; 
(X) Trichloroethylene: 3.08 ug/1; 
(XI) Vinyl Chloride: 2 ug/1; 
(XII) Aldrin: 0.127 ng/1; 

(XIII) Chlordane: 0.575 ng/1; 

(XIV) DDT: 0.588 ng/1; 
(XV) Dieldrin: 0.135 ng/1; 

(XVI) Heptachlor: 0.208 ng/1. 
(d) Class WS-II Waters. 

(1) Best Usage of Waters. Source of water 
supply for drinking, culinary, or 
food-processing purposes for those 
users desiring maximum protection for 
their water supplies where a WS-I 
classification is not feasible and any 
best usage specified for Class C waters. 

(2) Conditions Related to Best Usage. 
Waters of this class are protected as 
water supplies which are generally in 
predominantly undeveloped watersheds; 
discharges which qualify for a General 
Permit pursuant to 15A NCAC 2H 
.0127, trout farm discharges, recycle 
(closed loop) systems that only 
discharge in response to 10-year storm 



events and other stormwater discharges 

are allowed in the entire watershed; 

new domestic and industrial discharges 

of treated wastewater are not allowed in 

the entire watershed; the waters, 

following treatment required by the 

Division of Environmental Health, will 

meet the Maximum Contaminant Level 

concentrations considered safe for 

drinking, culinary, and food-processing 

purposes which are specified in the 

national drinking water regulations and 

in the North Carolina Rules Governing 

Public Water Supplies, 15A NCAC 

18C .1500; sources of water pollution 

which preclude any of these uses on 

either a short-term or long-term basis 

will be considered to be violating a 

water quality standard. The Class 

WS-II classification may be used to 

protect portions of Class WS-III and 

WS-IV water supplies. For 

reclassifications occurring after the July 

1, 1992 statewide reclassification, the 

more protective classification requested 

by local governments will be considered 

by the Commission when all local 

governments having jurisdiction in the 

affected area(s) have adopted a 

resolution and effective appropriate 

ordinances to protect the watershed or 

the Commission acts to protect a 

watershed when one or more local 

governments has failed to adopt 

necessary protection measures. 

(3) Quality Standards Applicable to Class 

WS-II Waters: 

(A) Sewage, industrial wastes, 

non-process industrial wastes, or other 

wastes: none except for those 

specified in either Subparagraph (2) of 

this Paragraph and Rule .0104 of this 

Subchapter; and none which will have 

an adverse effect on human health or 

which are not effectively treated to 

the satisfaction of the Commission 

and in accordance with the 

requirements of the Division of 

Environmental Health, North Carolina 

Department of Environment, Health, 

and Natural Resources; any 

discharger may be required upon 

request by the Commission to disclose 

all chemical constituents present or 

potentially present in their wastes and 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1752 



PROPOSED RULES 



chemicals which could be spilled or 

be present in runoff from their facility 

which may have an adverse impact on 

downstream water quality; these 

facilities may be required to have spill 

and treatment failure control plans as 

well as perform special monitoring for 

toxic substances; 

(B) Nonpoint Source and Stormwater 

Pollution: none that would adversely 

impact the waters for use as a water 

supply or any other designated use; 

(i) Nonpoint Source and Stormwater 

Pollution Control Criteria For 

Entire Watershed: 

(I) Low Density Option: 

Development density must be 

limited to either no more than 

one dwelling unit per acre or 

12 percent built-upon area in 

the watershed outside of the 

critical area; 

(II) High Density Option: If new 

development exceeds either 

one dwelling unit per acre or 

12 percent built-upon area, 

then engineered stormwater 

controls must be used to 

control runoff from the first 

inch of rainfall; new 

development not to exceed 30 

percent built-upon area; 

(III) Land within the watershed will 
be deemed compliant with the 
density requirements if the 
following two conditions are 
met: The density of all 
existing development at the 
time of reclassification meets 
the density requirement when 
densities are averaged 
throughout the entire 
watershed area at the time of 
classification; All new 
development meets this density 
requirement on a 
project-by-project basis; 

(IV) Clustering of development is 
allowed on a project-by-project 
basis as follows: Overall 
density of the project meets 
associated density or 
stormwater control 
requirements; Built-upon areas 
shall be designed and sited to 



minimize stormwater runoff 
impact to the receiving waters 
and minimize concentrated 
stormwater flow; Remainder of 
tract to remain in vegetated or 
natural state; 
(V) A maximum of five percent of 
each jurisdiction's portion of 
the watershed outside of the 
critical area as delineated on 
July 1, 1993 may be developed 
with new non-residential 
development projects of up to 
70 percent built-upon surface 
area in addition to the new 
non-residential development 
approved in compliance with 
the appropriate requirements of 
Subparagraphs (d)(3)(B)(i)(I) 
or (d)(3)(B)(i)(II) of this 
Paragraph. The Commission 
may allow 70 percent 
built-upon area on greater than 
five percent but not to exceed 
10 percent of each 
jurisdiction's portion of the 
designated watershed outside 
of the critical area for new 
non-residential development. 
Each project must to the 
maximum extent practicable 
minimize built-upon surface 
area, direct stormwater runoff 
away from surface waters and 
incorporate best management 
practices to minimize water 
quality impacts; if the local 
government opts for high 
density development then 
appropriate engineered 
stormwater controls (wet 
detention basins) must be 
employed for the new 
non-residential development 
which exceeds the low density 
requirements; 
(VI) If local governments choose 
the high density development 
option which requires 
stormwater controls, then they 
will assume ultimate 
responsibility for operation and 
maintenance of the required 
controls as outlined in Rule 
.0104(f) of this Subchapter; 



1753 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



> 



> 



(VII) Minimum 100 foot vegetative 
buffer is required for all new 
development activities that 
exceed the low density option 
requirements as specified in 
Subparagraphs (d)(3)(B)(i)(I) 
or (d)(3)(B)(ii)(II) of this 
Paragraph; otherwise a 
minimum 30 foot vegetative 
buffer for development 
activities is required along all 
perennial waters indicated on 
the most recent versions of 
U.S.G.S. 1:24,000 (7.5 
minute) scale topographic 
maps or as determined by local 
government studies; nothing in 
this Section shall stand as a 
bar to desirable artificial 
streambank or shoreline 
stabilization; 
(VIII) No new development is 
allowed in the buffer; water 
dependent structures, and 
public projects such as road 
crossings and grecnways may 
be allowed where no 
practicable alternative exists; 
these activities shall minimize 
built-upon surface area, direct 
runoff away from the surface 
waters and maximize the 
utilization of BMPs; 
(IX) Maintain inventory of all 
hazardous materials used and 
stored in the watershed; 
spill/failure containment plan 
and appropriate safeguards 
against contamination are 
required; waste minimization 
and appropriate recycling of 
materials is encouraged; 
(X) No new discharging landfills 
are allowed; 
(ii) Critical Area Nonpoint Source 

and Stormwater Pollution Control 

Criteria: 
(I) New industrial development is 
required to incorporate 
adequately designed, 
constructed and maintained 
spill containment structures if 
hazardous materials [as defined 
by 15A NCAC 2B .0202] are 
either used, stored or 



manufactured on the premises; 
(II) Low Density Option: New 
development is limited to 
either no more than one 
dwelling unit per two acres or 
six percent built-upon area; 

(III) High Density Option: If new 
development density exceeds 
either one dwelling unit per 
two acres or six percent 
built-upon area, then 
engineered stormwater controls 
must be used to control runoff 
from the first inch of rainfall; 
development density not to 
exceed 24 percent built-upon 
area; 

(IV) No new permitted sites for 
land application of 
sludge/residuals or petroleum 
contaminated soils are allowed; 

(V) No new landfills are allowed; 

(C) Odor producing substances contained 
in sewage or other wastes: only such 
amounts, whether alone or in 
combination with other substances or 
wastes, as will not cause: taste and 
odor difficulties in water supplies 
which cannot be corrected by 
treatment, impair the palatability of 
fish, or have a deleterious effect upon 
any best usage established for waters 
of this class; 

(D) Phenolic compounds: not greater than 
1 .0 ug/1 (phenols) to protect water 
supplies from taste and odor problems 
from chlorinated phenols; 

(E) Total hardness: not greater than 100 
mg/1 as calcium carbonate; 

(F) Total dissolved solids: not greater 
than 500 mg/1; 

(G) Toxic and other deleterious 
substances: 

(i) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
non-carcinogens in Class WS-II 
waters: 
(I) Barium: 1.0 mg/1; 
(II) Chloride: 250 mg/1; 

(III) Manganese: 200 ug/1; 

(IV) Nickel: 25 ug/1; 

(V) Nitrate nitrogen: 10 mg/1; 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1754 



PROPOSED RULES 



(VI) 2,4-D: 100 ug/1; 
(VII) 2,4.5-TP: 10 ug/1; 
(VIII) Sulfates: 250 mg/1; 
(ii) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
carcinogens in Class WS-II 
waters : 
(I) Beryllium: 6.8 ng/I; 
(II) Benzene: 1.19 ug/1; 

(III) Carbon tetrachloride: 0.254 
ug/1; 

(IV) Chlorinated benzenes: 488 
ug/1; 

(V) Dioxin: 0.000013 ug/1; 
(VI) Hexachlorobutadiene: 0.445 

ug/1; 
(VII) Polynuclear aromatic 

hydrocarbons: 2.8 ng/1; 
(VIII) Tetrachloroethane (1,1,2,2): 
0.172 ug/1: 
(IX) Tetrachloroethylene: 0.8 ug/1; 
(X) Trichloroethylene: 3.08 ug/1; 
(XI) Vinyl Chloride: 2 ug/1; 
(XII) Aldrin: 0.127 ng/1; 

(XIII) Chlordane: 0.575 ng/1; 

(XIV) DDT: 0.588 ng/1; 
(XV) Dieldrin: 0.135 ng/1; 

(XVI) Heptachlor: 0.208 ng/1; 
(e) Class WS-III Waters. 

(1) Best Usage of Waters. Source of water 
supply for drinking, culinary, or 
food-processing purposes for those 
users where a more protective WS-I or 
WS-II classification is not feasible and 
any other best usage specified for Class 
C waters: 

(2) Conditions Related to Best Usage. 
Waters of this class are protected as 
water supplies which are generally in 
low to moderately developed 
watersheds; discharges that qualify for 
a General Permit pursuant to 15A 
NCAC 2H .0127, trout farm 
discharges, recycle (closed loop) 
systems that only discharge in response 
to 10-year storm events, and other 
stormwater discharges are allowed in 
the entire watershed; treated domestic 
wastewater discharges are allowed in 
the entire watershed but no new 
domestic wastewater discharges are 
allowed in the critical area; no new 



industrial wastewater discharges except 

non-process industrial discharges are 

allowed in the entire watershed; the 

waters, following treatment required by 

the Division of Environmental Health. 

will meet the Maximum Contaminant 

Level concentrations considered safe for 

drinking, culinary, or food-processing 

purposes which are specified in the 

national drinking water regulations and 

in the North Carolina Rules Governing 

Public Water Supplies, 15A NCAC 

18C .1500; sources of water pollution 

which preclude any of these uses on 

either a short-term or long-term basis 

will be considered to be violating a 

water quality standard; the Class WS-III 

classification may be used to protect 

portions of Class WS-IV water 

supplies. For reclassifications 

occurring after the July 1, 1992 

statewide reclassification, the more 

protective classification requested by 

local governments will be considered by 

the Commission when all local 

governments having jurisdiction in the 

affected area(s) have adopted a 

resolution and effective appropriate 

ordinances to protect the watershed or 

the Commission acts to protect a 

watershed when one or more local 

governments has failed to adopt 

necessary protection measures. 

(3) Quality Standards Applicable to Class 

WS-III Waters: 

(A) Sewage, industrial wastes. 

non-process industrial wastes, or other 

wastes: none except for those 

specified in Subparagraph (2) of this 

Paragraph and Rule .0104 of this 

Subchapter; and none which will have 

an adverse effect on human health or 

which are not effectively treated to 

the satisfaction of the Commission 

and in accordance with the 

requirements of the Division of 

Environmental Health, North Carolina 

Department of Environment, Health, 

and Natural Resources; any 

discharger may be required by the 

Commission to disclose all chemical 

constituents present or potentially 

present in their wastes and chemicals 

which could be spilled or be present 

in runoff from their facility which 



1755 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



* 



> 



> 



may have an adverse impact on 

downstream water quality; these 

facilities may be required to have spill 

and treatment failure control plans as 

well as perform special monitoring for 

toxic substances; 

(B) Nonpoint Source and Stormwater 

Pollution: none that would adversely 

impact the waters for use as water 

supply or any other designated use; 

(i) Nonpoint Source and Stormwater 

Pollution Control Criteria For 

Entire Watershed: 

(I) Low Density Option: 

Development density must be 

limited to either no more than 

two dwelling units per acre or 

24 percent built-upon on area 

in watershed outside of the 

critical area; 

(II) High Density Option: If new 

development density exceeds 

two dwelling units per acre or 

24 percent built-upon area then 

development must control 

runoff from the first inch of 

rainfall; new development not 

to exceed 50 percent 

built-upon area; 

(III) Land within the watershed will 
be deemed compliant with the 
density requirements if the 
following two conditions are 
met: The density of all 
existing development at the 
time of reclassification meets 
the density requirement when 
densities are averaged 
throughout the entire 
watershed area; All new 
development meets these 
density requirements on a 
project-by-project basis; 

(IV) Clustering of development is 
allowed on a project-by-project 
basis as follows: Overall 
density of the project meets 
associated density or 
stormwater control 
requirements; Built-upon areas 
are designed and sited to 
minimize stormwater runoff 
impact to the receiving waters 
and minimizes concentrated 
stormwater flow; Remainder of 



tract to remain in vegetated or 
natural state; 
(V) A maximum of five percent of 
each jurisdiction's portion of 
the watershed outside of the 
critical area as delineated on 
July 1, 1993 may be developed 
with new non-residential 
development projects of up to 
70 percent built-upon surface 
area in addition to the new 
non-residential development 
approved in compliance with 
the appropriate requirements of 
Subparagraphs (e)(3)(B)(i)(I) 
or (e)(3)(B)(i)(II) of this 
Paragraph. The Commission 
may allow 70 percent 
built-upon area on greater than 
five percent but not to exceed 
10 percent of each 
jurisdiction's portion of the 
designated watershed outside 
of the critical area for new 
non-residential development. 
Each project must to the 
maximum extent practicable 
minimize built-upon surface 
area, direct stormwater runoff 
away from surface waters, and 
incorporate best management 
practices to minimize water 
quality impacts; if the local 
government opts for high 
density development then 
appropriate engineered 
stormwater controls (wet 
detention basins) must be 
employed for the new 
non-residential development 
which exceeds the low density 
requirements; 

(VI) If local governments choose 
the high density development 
option which requires 
engineered stormwater 
controls, then they will assume 
ultimate responsibility for 
operation and maintenance of 
the required controls as 
outlined in Rule .0104(f) of 
this Subchapter; 

(VII) Minimum 100 foot vegetative 
buffer is required for all new 
development activities that 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1756 



PROPOSED RULES 



exceed the low density 
requirements as specified in 
Subparagraphs (e)(3) (B)(i) (I) 
or (e)(3)(B)(ii)(II) of this 
Paragraph, otherwise a 
minimum 30 foot vegetative 
buffer for development is 
required along all perennial 
waters indicated on the most 
recent versions of U.S.G.S. 
1:24,000 (7.5 minute) scale 
topographic maps or as 
determined by local 
government studies; nothing in 
this Section shall stand as a 
bar to desirable artificial 
streambank or shoreline 
stabilization; 
(VIII) No new development is 
allowed in the buffer; water 
dependent structures, and 
public projects such as road 
crossings and greenways may 
be allowed where no 
practicable alternative exists; 
these activities shall minimize 
built-upon surface area, divert 
runoff away from surface 
waters and maximize the 
utilization of BMPs; 
(IX) Maintain inventory of all 
hazardous materials used and 
stored in the watershed; 
spill/failure containment plan 
and appropriate safeguards 
against contamination are 
required; waste minimization 
and appropriate recycling of 
materials is encouraged; 
(X) No new discharging landfills 
are allowed; 
(ii) Critical Area Nonpoint Source 

and Stormwater Pollution Control 

Criteria: 
(I) New industrial development is 
required to incorporate 
adequately designed, 
constructed and maintained 
spill containment structures if 
hazardous materials are either 
used, stored or manufactured 
on the premises; 
(II) Low Density Option: New 
development limited to one 
dwelling unit per acre or 12 



percent built-upon area; 

(III) High Density Option: If new 

development exceeds either 
one dwelling unit per acre or 
12 percent built-upon area then 
engineered stormwater controls 
must be used to control runoff 
from the first inch of rainfall; 
development not to exceed 30 
percent built-upon area; 

(IV) No new permitted sites for 
land application of 
sludge/residuals or petroleum 
contaminated soils are allowed; 

(V) No new landfills are allowed; 

(C) Odor producing substances contained 
in sewage, industrial wastes, or other 
wastes: only such amounts, whether 
alone or in combination with other 
substances or wastes, as will not 
cause taste and odor difficulties in 
water supplies which cannot be 
corrected by treatment, impair the 
palatability of fish, or have a 
deleterious effect upon any best usage 
established for waters of this class; 

(D) Phenolic compounds: not greater than 
1.0 ug/1 (phenols) to protect water 
supplies from taste and odor problems 
from chlorinated phenols; 

(E) Total hardness: not greater than 100 
mg/1 as calcium carbonate; 

(F) Total dissolved solids: not greater 
than 500 mg/1; 

(G) Toxic and other deleterious 
substances: 

(i) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
non-carcinogens in Class WS-III 
waters : 
(I) Barium: 1.0 mg/1; 
(II) Chloride: 250 mg/1; 

(III) Manganese: 200 ug/1; 

(IV) Nickel: 25 ug/1; 

(V) Nitrate nitrogen: 10 mg/1; 
(VI) 2,4-D: 100 ug/1; 
(VII) 2,4,5-TP (Silvex): 10 ug/1; 
(VIII) Sulfates: 250 mg/1; 
(ii) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 



1757 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



\ 



) 



\ 



and fish tissue consumption for 
carcinogens in Class WS-III 
waters: 
(I) Beryllium: 6.8 ng/1; 
(II) Benzene: 1.19 ug/1; 

(III) Carbon tetrachloride: 0.254 
ug/1; 

(IV) Chlorinated benzenes: 488 
ug/1; 

(V) Dioxin: 0.000013 ng/1; 
(VI) Hexachlorobutadiene: 0.445 

ug/1; 
(VII) Polynuclear aromatic 

hydrocarbons: 2.8 ng/1; 
(VIII) Tetrachloroethane (1,1,2,2): 
0.172 ug/1; 
(IX) Tetrachloroethylene: 0.8 ug/1; 
(X) Trichloroethylene: 3.08 ug/1; 
(XI) Vinyl Chloride: 2 ug/1; 
(XII) Aldrin: 0.127 ng/1; 

(XIII) Chlordane: 0.575 ng/1; 

(XIV) DDT: 0.588 ng/1; 
(XV) Dieldrin: 0.135 ng/1; 

(XVI) Heptachlor: 0.208 ng/1; 
(f) Class WS-IV Waters. 

(1) Best Usage of Waters. Source of water 
supply for drinking, culinary, or 
food-processing purposes for those 
users where a more protective WS-I, 
WS-II or WS-III classification is not 
feasible and any other best usage 
specified for Class C waters; 

(2) Conditions Related to Best Usage. 
Waters of this class are protected as 
water supplies which are generally in 
moderately to highly developed 
watersheds or protected areas; 
discharges which qualify for a General 
Permit pursuant to 15A NCAC 2H 
.0127, trout farm discharges, recycle 
(closed loop) systems that only 
discharge in response to 10-year storm 
events, other stormwater discharges and 
domestic wastewater discharges are 
allowed in the protected and critical 
areas; treated industrial wastewater 
discharges are allowed in the protected 
and critical areas; however, new 
industrial wastewater discharges in the 
critical area are required to meet the 
provisions of 15A NCAC 2B 
.0201(d)(l)(B)(iv), (v) and (vii), and 
15A NCAC 2B .0203; new industrial 
connections and expansions to existing 
municipal discharges with a 



pretreatment program pursuant to 15A 
NCAC 2H .0904 are allowed; the 
waters, following treatment required by 
the Division of Environmental Health, 
will meet the Maximum Contaminant 
Level concentrations considered safe for 
drinking, culinary, or food-processing 
purposes which are specified in the 
national drinking water regulations and 
in the North Carolina Rules Governing 
Public Water Supplies, 15A NCAC 
18C .1500; sources of water pollution 
which preclude any of these uses on 
either a short-term or long-term basis 
will be considered to be violating a 
water quality standard; 
(3) Quality Standards Applicable to Class 
WS-IV Waters: 

(A) Sewage, industrial wastes, 
non-process industrial wastes, or other 
wastes: none except for those 
specified in Subparagraph (2) of this 
Paragraph and Rule .0104 of this 
Subchapter; and none which will have 
an adverse effect on human health or 
which are not effectively treated to 
the satisfaction of the Commission 
and in accordance with the 
requirements of the Division of 
Environmental Health, North Carolina 
Department of Environment, Health, 
and Natural Resources; any 
discharges or industrial users subject 
to pretreatment standards may be 
required by the Commission to 
disclose all chemical constituents 
present or potentially present in their 
wastes and chemicals which could be 
spilled or be present in runoff from 
their facility which may have an 
adverse impact on downstream water 
supplies; these facilities may be 
required to have spill and treatment 
failure control plans as well as 
perform special monitoring for toxic 
substances; 

(B) Nonpoint Source and Stormwater 
Pollution: none that would adversely 
impact the waters for use as water 
supply or any other designated use; 

(i) Nonpoint Source and Stormwater 

Pollution Control Criteria For 

Entire Watershed or Protected 

Area: 

(I) Low Density Option: 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1758 



PROPOSED RULES 



Development activities which 
require a 

Sedimentation/Erosion Control 
Plan in accordance with 15A 
NCAC 4 established by the 
North Carolina Sedimentation 
Control Commission or 
approved local government 
programs as delegated by the 
Sedimentation Control 
Commission must be limited to 
no more than either: two 
dwelling units per acre or 24 
percent built-upon on area; or 
three dwelling units per acre 
or 36 percent built-upon area 
for projects without curb and 
gutter street system in the 
protected area outside of 
critical area; 
(II) High Density Option: If new 
development activities which 
require a 

Sedimentation/Erosion Control 
Plan exceed the requirements 
of Subparagraphs (f)(3)(B)(i)(I) 
of this Rule then development 
must control the runoff from 
the first inch of rainfall; new 
development not to exceed 70 
percent built-upon area; 

(III) Land within the critical and 
protected area will be deemed 
compliant with the density 
requirements if the following 
two conditions are met: The 
density of all existing 
development at the time of 
reclassification meets the 
density requirement when 
densities are averaged 
throughout the entire area; All 
new development meets these 
density requirements on a 
project-by-project basis; 

(IV) Clustering of development is 
allowed on a project-by-project 
basis as follows: Overall 
density of the project meets 
associated density or 
storm water control 
requirements; Built-upon areas 
are designed and sited to 
minimize stormwater runoff 
impact to the receiving waters 



and minimizes concentrated 
stormwater flow; Remainder of 
tract to remain in vegetated or 
natural state; 
(V) If local governments choose 
the high density development 
option which requires 
engineered stormwater 
controls, then they will assume 
ultimate responsibility for 
operation and maintenance of 
the required controls as 
outlined in Rule .0104(f) of 
this Subchapter; 
(VI) Minimum 100 foot vegetative 
buffer is required for all new 
development activities that 
exceed the low density option 
requirements as specified in 
Subparagraphs (f)(3)(B)(i)(I)or 
(f)(3)(B)(ii)(I) of this 
Paragraph, otherwise a 
minimum 30 foot vegetative 
buffer for development is 
required along all perennial 
waters indicated on the most 
recent versions of U.S.G.S. 
1:24,000 (7.5 minute) scale 
topographic maps or as 
determined by local 
government studies; nothing in 
this Section shall stand as a 
bar to desirable artificial 
streambank shoreline 
stabilization; 
(VII) No new development is 
allowed in the buffer; water 
dependent structures, and 
public projects such as road 
crossings and greenways may 
be allowed where no 
practicable alternative exists; 
these activities shall minimize 
built-upon surface area, divert 
runoff away from surface 
waters and maximize the 
utilization of BMPs; 
(VIII) Maintain inventory of all 
hazardous materials used and 
stored in the watershed or 
protected area; spill/failure 
containment plan and 
appropriate safeguards against 
contamination are required; 
waste minimization and 



1759 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



appropriate recycling of 
materials is encouraged; 
(ii) Critical Area Nonpoint Source 
and Stormwater Pollution Control 
Criteria: 
(I) Low Density Option: New 
development activities which 
require a 

Sedimentation/Erosion Control 
Plan in accordance with 15A 
NCAC 4 established by the 
North Carolina Sedimentation 
Control Commission or 
approved local government 
programs as delegated by the 
Sedimentation Control 
Commission must be limited to 
no more than two dwelling 
units per acre or 24 percent 
built-upon area; 
(II) High Density Option: If new 
development density exceeds 
either two dwelling units per 
acre or 24 percent built-upon 
area then engineered 
stormwater controls must be 
used to control runoff from the 
first inch of rainfall; new 
development not to exceed 50 
percent built-upon area; 

(III) No new permitted sites for 
land application of 
sludge/residuals or petroleum 
contaminated soils are allowed; 

(IV) No new landfills are allowed; 

(C) Odor producing substances contained 
in sewage, industrial wastes, or other 
wastes: only such amounts, whether 
alone or in combination with other 
substances or waste, as will not cause 
taste and odor difficulties in water 
supplies which can not be corrected 
by treatment, impair the palatability 
of fish, or have a deleterious effect 
upon any best usage established for 
waters of this class; 

(D) Phenolic compounds: not greater than 
1 .0 ug/1 (phenols) to protect water 
supplies from taste and odor problems 
due to chlorinated phenols; specific 
phenolic compounds may be given a 
different limit if it is demonstrated not 
to cause taste and odor problems and 
not to be detrimental to other best 
usage; 



(E) Total hardness: not greater than 100 
mg/1 as calcium carbonate; 

(F) Total dissolved solids: not greater 
than 500 mg/1; 

(G) Toxic and other deleterious 
substances: 

(i) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
non-carcinogens in Class WS-IV 
waters : 
(I) Barium: 1.0 mg/1; 
(II) Chloride: 250 mg/1; 

(III) Manganese: 200 ug/1; 

(IV) Nickel: 25 ug/1; 

(V) Nitrate nitrogen: 10.0 mg/1; 
(VI) 2,4-D: 100 ug/1; 
(VII) 2,4,5-TP (Silvex): 10 ug/1; 
(VIII) Sulfates: 250 mg/1; 
(ii) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
carcinogens in Class WS-IV 
waters : 
(I) Beryllium: 6.8 ng/1; 
(II) Benzene: 1.19 ug/1; 
(HI) Carbon tetrachloride: 0.254 

ug/1; 
(IV) Chlorinated benzenes: 488 

ug/1; 
(V) Dioxin: 0.000013 ng/1; 
(VI) Hexachlorobutadiene: 0.445 

ug/1; 
(VII) Polynuclear aromatic 

hydrocarbons: 2.8 ng/1; 
(VIII) Tetrachloroethane (1,1,2,2): 
0.172 ug/1; 
(IX) Tetrachloroethylene: 0.8 ug/1; 
(X) Trichloroethylene: 3.08 ug/1; 
(XI) Vinyl Chloride: 2 ug/1; 
(XII) Aldrin: 0.127 ng/1; 

(XIII) Chlordane: 0.575 ng/1; 

(XIV) DDT: 0.588 ng/1; 
(XV) Dieldrin: 0.135 ng/1; 

(XVI) Heptachlor: 0.208 ng/1; 
(g) Class WS-V Waters. 
(1) Best Usage of Waters. Waters 

protected as water supplies which are 
generally upstream and draining to 
Class WS-IV waters or waters 
previously used for drinking water 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1760 



PROPOSED RULES 



supply purposes; no categorical 
restrictions on watershed development 
or wastewater discharges are required, 
however, the Commission or its 
designee may apply appropriate 
management requirements as deemed 
necessary for the protection of waters 
downstream of receiving waters (15A 
NCAC 2B .0203); suitable for all Class 
C uses; 

(2) Conditions Related to Best Usage. 
Waters of this class are protected water 
supplies; the waters, following 
treatment required by the Division of 
Environmental Health, will meet the 
Maximum Contaminant Level 
concentrations considered safe for 
drinking, culinary, or food-processing 
purposes which are specified in the 
national drinking water regulations and 
in the North Carolina Rules Governing 
Public Water Supplies, 15A NCAC 
18C .1500; sources of water pollution 
which preclude any of these uses on 
either a short-term or long-term basis 
will be considered to be violating a 
water quality standard; 

(3) Quality Standards Applicable to Class 
WS-V Waters: 

(A) Sewage, industrial wastes, 
non-process industrial wastes, or other 
wastes: none which will have an 
adverse effect on human health or 
which are not effectively treated to 
the satisfaction of the Commission 
and in accordance with the 
requirements of the Division of 
Environmental Health, North Carolina 
Department of Environment, Health, 
and Natural Resources; any 
discharges or industrial users subject 
to pretreatment standards may be 
required by the Commission to 
disclose all chemical constituents 
present or potentially present in their 
wastes and chemicals which could be 
spilled or be present in runoff from 
their facility which may have an 
adverse impact on downstream water 
supplies; these facilities may be 
required to have spill and treatment 
failure control plans as well as 
perform special monitoring for toxic 
substances; 

(B) Nonpoint Source and Stormwater 



Pollution: none that would adversely 
impact the waters for use as water 
supply or any other designated use; 

(C) Odor producing substances contained 
in sewage, industrial wastes, or other 
wastes: only such amounts, whether 
alone or in combination with other 
substances or waste, as will not cause 
taste and odor difficulties in water 
supplies which can not be corrected 
by treatment, impair the palatability 
of fish, or have a deleterious effect 
upon any best usage established for 
waters of this class; 

(D) Phenolic compounds: not greater than 
1 .0 ug/1 (phenols) to protect water 
supplies from taste and odor problems 
due to chlorinated phenols; specific 
phenolic compounds may be given a 
different limit if it is demonstrated not 
to cause taste and odor problems and 
not to be detrimental to other best 
usage; 

(E) Total hardness: not greater than 100 
mg/1 as calcium carbonate; 

(F) Total dissolved solids: not greater 
than 500 mg/1; 

(G) Toxic and other deleterious 
substances: 

(i) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
non-carcinogens in Class WS-V 
waters: 
(I) Barium: 1.0 mg/1; 
(II) Chloride: 250 mg/1; 

(III) Manganese: 200 ug/1; 

(IV) Nickel: 25 ug/1; 

(V) Nitrate nitrogen: 10.0 mg/1; 
(VI) 2,4-D: 100 ug/1; 
(VII) 2,4,5-TP (Silvex): 10 ug/1; 
(VIII) Sulfates: 250 mg/1. 
(ii) Water quality standards 
(maximum permissible 
concentrations) to protect human 
health through water consumption 
and fish tissue consumption for 
carcinogens in Class WS-V 
waters : 
(I) Beryllium: 6.8 ng/1; 
(II) Benzene: 1.19 ug/1; 
(III) Carbon tetrachloride: 0.254 
ug/1; 



1761 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



> 



> 



(IV) Chlorinated benzenes: 488 

ug/1; 
(V) Dioxin: 0.000013 ng/1; 
(VI) Hexachlorobutadiene: 0.445 

ug/1; 
(VII) Polynuclear aromatic 

hydrocarbons: 2.8 ng/1; 
(VIII) Tetrachloroethane (1,1,2,2): 
0.172 ug/1; 
(IX) Tetrachloroethylene: 0.8 ug/1; 
(X) Trichloroethylene: 3.08 ug/1; 
(XI) Vinyl Chloride: 2 ug/1; 
(XII) Aldrin: 0.127 ng/1; 

(XIII) Chlordane: 0.575 ng/1; 

(XIV) DDT: 0.588 ng/1; 
(XV) Dieldrin: 0.135 ng/1; 

(XVI) Heptachlor: 0.208 ng/1. 
(h) Class B Waters. 

(1) Best Usage of Waters. Primary 
recreation and any other best usage 
specified by the "C" classification; 

(2) Conditions Related to Best Usage. The 
waters will meet accepted standards of 
water quality for outdoor bathing places 
and will be of sufficient size and depth 
for primary recreation purposes. 
Sources of water pollution which 
preclude any of these uses on either a 
short-term or long-term basis will be 
considered to be violating a water 
quality standard; 

(3) Quality standards applicable to Class B 
waters : 

(A) Sewage, industrial wastes, or other 
wastes: none which are not 
effectively treated to the satisfaction 
of the Commission; in determining 
the degree of treatment required for 
such waste when discharged into 
waters to be used for bathing, the 
Commission will consider the quality 
and quantity of the sewage and wastes 
involved and the proximity of such 
discharges to waters in this class; 
discharges in the immediate vicinity 
of bathing areas may not be allowed if 
the Director determines that the waste 
can not be reliably treated to ensure 
the protection of primary recreation; 

(B) Organisms of coliform group: fecal 
coliforms not to exceed geometric 
mean of 200/100 ml (MF count) 
based on at least five consecutive 
samples examined during any 30-day 
period and not to exceed 400/100 ml 



in more than 20 percent of the 
samples examined during such period. 

Statutory Authority G.S. 143-214.1; 
143-215. 3(a)(1). 

SUBCHAPTER 2H - PROCEDURES 
FOR PERMITS: APPROVALS 

SECTION .0300 - SEPTIC TANK SYSTEMS 

.0301 SCOPE 

(a) This Section of rules governs the subsurface 
di s po s al of wa s tewater under the jurisdiction of the 
Environmental Management Commi s sion. — This 

includes subsurface disposal ef- industrial 

wastewater and subsurface disposal of sewage from 

public — ©f — community — sewage — systems. The 

Commis s ion for Health Services has jurisdiction 
over all — other non discharging sanitary s ewage 
di s posal systems. 

{©) Definitions. For the purpose of these 

Regulations, the following definition s s hall apply: 

fB Alluvial — Soils. The — tepm — "alluvial 

soils" shall mean stratified soils without 
di s tinct horizon s , — deposited — by — flood 
waters. 

(2-) Approved. — The term "approved" shall 

mean that which has been considered 
acceptable to the state or local agency. 

0) Approved Sewerage System. — The term 

"approved sewerage system" shall mean 
a public, — community or institutional 
sewerage system for the collection and 
treatment — of sewage — or other — liquid 
wa s tes — con s tructed — etn4 — operated — m 

compliance with applicable 

requirements — ef- — the — state — ©f — local 
agency. 

(4) Areas — Subject to — Frequent — Flooding. 

The term — "areas — subject to — frequent 
flooding" — shall — mean — those — areas 
consisting of alluvial soils, indicating 
s oil s deposited from flooding of less 
than a 10 year frequency. 

f§-) Horizon. The term — "horizon" — shall 

mean a — layer of soil. — approximately 
parallel to the surface, that ha s di s tinct 
characteristics produced by soil forming 
processes. 

te) "Local health director" means the local 

health — director — as — defined — m — &-Sr 

1 30A 2(6) »f h+s authorized 

representative. 
{Jj Nitrification Field. The term 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1762 



PROPOSED RULES 



m- 



m- 



tm- 



m^ 



H3^ 



hd- 



H4+- 



-&>- 



<4£-, 



"nitrification — field" — sheH — mean — the 
system — of nitrification — line s — et — field 
lateral lines which receive the septic 
tank effluent. 

Nitrification — Line s — &f — Field — Lateral 
Line s . — The term s "nitrification lines" 
or "field lateral lines" shall mean the 
open jointed — pipe. — drain — line s , — er 
especially — de s igned — porous — block s 
which receive the septic tank effluent 

fef nitrification, distribution and 

absorption. 
Organic — Soil s . 



The — teffH — "organic 



soils" shall mean those organic mucks 
and peat s con s isting of more than 20 
percent organic matter to depths of 18 
inches or greater. 

Ped. — The term "ped" s hall mean a unit 
of soil s tructure such as an aggregate, 
crumb, — pri s m, — block, — &f — granule, 
formed by natural processes. 
Perch. — The term "perch" s hall mean 
restricting vertical movement of liquids. 
Per s on. — The term "per s on" shall mean 
any — individual, firm, a ss ociation. 



organization, partnership, busine s s 

trust, corporation or company. 

Place of Business. — The term "place of 

bu s ine ss " s hall mean and include any 

store, warehou s e, manufacturing 

e s tabli s hment, place of amu s em e nt or 

recreation, s ervice station, office 

building, or other place s where people 

work. 

Place of Public Assembly. — The term 

"place of public a ss embly" shall mean 

artd — include fairgrounds, — auditoriums. 

s tadium s , churches. campgrounds. 

theaters, and other place s where peopl e 
a ss emble. 

Septic Tank. — The term "septic tank" 
s hall — mean — a — water tight. — covered 
receptacle designed and constructed to 
receive the di s charge of s ewage from a 
building sewer; separate scttlcablc and 
floating solids from the liquid; dige s t 
organic matter by anaerobic bacterial 
action; store digested solids through a 
period of detention; and allow clarified 
liquids — te — di s charge — for- — additional 
treatment and final di s po s al. 
"Septic Tank System" or "Conventional 
Septic Tank Sy s tem" means a ground 

ab s orption sewage treatment and 

disposal system con s i s ting of a septic 



H^r- 



tnnk, a gravity fed nitrification field, 
nece ss ary pipe lines, conduits. — pump 

s tation s , and — other — appurtenances 

required fef proper collection. 

distribution. treatment. disposal. 

operation, and performanc e . 
"S e wage" — means the liquid and solid 
human body waste. — and liquid waste 
generated — by — dome s tic — water u s ing 
fixtures and appliances, including those 

a ss ociated with food handling. The 

term docs not include industrial process 
wa s tewater or sewage that i s combined 
with industrial wastewater. 

(+8-) Sewer Connection. — The term " s ewer 

connection" — shall — mean a connection 
with an approved community or public 
sewerage sy s tem which provides for the 
collection — and disposal — of s ewag e — ©f 
other liquid waste s . 

Site. — The term "site" shall be that area 
in which the s eptic tank system is to be 
located — and — the — area — required — to 



my- 



¥m- 



@3)- 



*m- 



&h- 



* 



accommodate and permit proper 

functioning of the system. 
Soil. — The term "soil." for the purposes 
of subsurface — s ewage — disposal. — shall 
mean the unconsolidated mineral and 
organic material on the land s urfac e . — k 
consists of sand. silt, and clay minerals 
and — variable — amounts — ©f- — organic 



i 



materials 



4t — exi s ts — as — natural. 



undi s turbed — material — or as — di s turbed 
material (such a s cut and fill). 

{34-) Setl — Absorption — Sy s tem. The — term 

"soil absorption s y s tem" shall mean a 

system — that — utilizes — the — setl — fef 

absorption of treated sewage. 

State or Local Agency. — The term "state 

or local agency" shall mean the state or 

local agency having jurisdiction, or its 

authorized representative. 

Structure. — The term "structure" (as it 



relate s — te — soils) — shaH — mean — the 
arrangement of primary soil particle s 
into compound particles or clu s ter s that 
are s eparated from adjoining aggregate s 
and have properties unlike tho s e of an 
equal — mass — of unaggrcgated — primary 
soil particles. 
Sub s urface — Di s po s al. TTte — term 



" s ub s urface disposal" — shall — mean the 
proce ss of s ewage treatment i n which 
sewage effluent is applied to land by 
distribution beneath the s urface of the 



I 



7763 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



) 



) 



ground — through — open jointed — pipes, 

approved drains ef approved 

specially designed porou s block. 

{e) Sanitary Sewage Disposal Requirements. 

Every residence, — place of business or place of 
public — assembly — as — defined — herein, — shall — be 
provided — with — either — an — approved — number of 
privies — construct e d — m — accordance — with — the 
requirements — ef- — the — Commission — fef — Health 
Services, — a — septic — tank- — system — constructed — in 

accordance with the provisions — ef- — these 

Regulations, or connection to an approved sewer 
system . 
(d) Construction 

(t) Septic Tank 

{A) — The — "septic — tank" — s hall — be — ef 
water tight construction, — structurally 
sound and not subject to e xcessive 

corrosion — ef — decay. Tanks — ef 

rectangular — de s ign, — similar — te — that 
s pecified — in — Division — ef — Health 
Services Bulletin No. 519, approved 
by the State Board of Health March 
¥h — 1960, — afe — recommended. — ff 
prefabricated tanks, or tanks of other 
design — afe — u s ed, — they — shaH — be 
constructed in accordance with plans 
which — have — been — approved — by — the 
state agency, and shall comply with 

aH other — requirements ef- — this 

Subdivision. — Septic tanks of 1 ,600 
gallon liquid capacity or larger shall 
be of two compartment de s ign and 
construction. The inlet compartment 
of a two compartment tank s hall be 
between two thirds and three fourths 

e-f- t-h-e total capacity. 

Two compartment — septic — tanks — afe 
recommended for tanks of less than 
1,600 — gallon — capacity. — A — dosing 
syphon or pump shall be used for 

discharging s eptic effluent inte 

nitrification lines when the volume of 
the tank is more than 3,000 gallon s 
and the total length of such lines is 

500 feet or more. When the total 

length of such line s i s 1 ,000 feet or 
more, alternating syphons or pumps 

shaH — be — used. Discharges — from 

syphon or pump systems shall be of 
such — design — se — as — te — f+H — the 
nitrification lines 60 percent to 75 
percent — ef- — their — capacity — at — each 
discharge. 
{B} — Minimum liquid capacities for septic 



tank s s hall be in accordance with the 
following: 

{+) Residential Septic Tanks (for each 

individual residence) 

NumbcrMinimum 



Equivalent 



Bedroom 

gallons 
gallon s 
gallons 



ofLiquidCapacity per 

Bedroom s Capac ity 

2 or l es s750 gallons3 7 5 

3 or lcss900 gallon s 3 

4 or less 1,000 gallons250 



For each additional bedroom add 250 gallon s . 
These figure s provide for use of garbage grinder s , 
automatic clothes washers, and other household 
appliances. 

(it) Septic Tank Other Than Re s idcn 

tiah — Septic tank for commercial 
or institutional installations shall 
be sized — according — to accepted 
engineering practices and the size 
of each installation shall be deter 
mined on the basis of specific 
needs. — For determining required 
minimum capacities for installa 
tions serving other than residene 
cs, use the daily flows in Rcgula 
tion .030 4 of this Section. 

(fit) T-he — minimum — capacity — of any 

septic tank s hall be 750 gallons. 
fe) — Sites for Soil Ab s orption Systems 

{¥) Site Evaluation. The s tate or local 

agency shall investigate each proposed 
site: — The inve s tigation shall include the 
e valuation of the following factors: 
(A) — Topography; 
fB) — Soil characteristics: 
(f) texture. 



(if) s tructur e , 

f+it) depth, 

fiv-) re s trictive horizon s , 

fv} drainage; 

{€) — Ground water elevation; 
fD) — Depth of imperviou s s trata; 
{E} — Percolation Tests. — Evaluations shall 
be made in accordance with Regula 
tion .0302 of thi s Section, and other 
accepted — public — health — principle s . 
Based on thi s evaluation, each of the 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1764 



PROPOSED RULES 



factors [Items (A) to (E) of this Sub 
division] shall be classified as suit 
able, provi s ionally suitable, or unsuit 
able. 

f2-) Application Rates 

{A) — In determining the volume of sewage 
from residences, the flow rate shall be 
75 gallons per person per day: and 
each bedroom s hall be considered the 
equivalent of two persons. — For estab 
lishmcnts other than residences, the 
flow rate shall be determined from 
Regulation .030 4 of this Section. — in 
calculating the amount of square feet 
of area needed for the nitrification 
field in trench system, the maximum 
trench width u s ed in the calculation s 
shall be 36 inches, even though the 
actual trench width may be construct 
ed larger. — Trenches s hall be not le ss 
than eight feet on centers. — The state 
or local agency may permit the use of 
a bed system in lieu of a trench s y s 
tern for the nitrification field when it 
has been determined that the trench 
s y s tem — is — impractical — or impo ss ible 
because of topography or space limi 
tation s . — In such cases, the amount of 
square feet of area needed shall be 
increased — by — 50 percent over what 
would be required for a trench sys 
tern: or in lieu of the added area, the 
amount of gravel or stone under the 
drain — lines s hall — be increased to a 
depth of not less than 12 inche s . — T-he 
extra area i s needed to compensate for 
the loss of trench s idcwall area in bed 
systems. — Drain line s s hall be at lea s t 
18 inche s from the side of the bed and 
shall not be le ss than three feet on 
centers. 
f&) — Site s cla s sified as suitable may receive 
application of s eptic tank effluents up 
te — 1.5 gallon s per s quare foot per 

OflV. 

f&) — Sites classified a s provi s ionally suit 
able may receive septic tank effluents 
up to 0.75 gallons per s quare foot per 
day-; — except that — where percolation 
rates exceed 60 minute s per inch, the 
application rate shall not exceed 0.5 
gallons per square foot per day. 

{©} — Sites classified as unsuitable shall not 
be u s ed for s oil ab s orption disposal 
s y s tem s . unle ss engineering. 



hydrogeologic. an4 setl studies 

indicate to the state or local agency 
that a suitable septic tank system or a 

s uitabl e alternate system ea-n- 

reasonably — be expected to — function 
satisfactorily. 

i$) Available — Space. Sites — shaW — have 

s ufficient available s pace to permit the 
installation and proper functioning of 
ground — absorption — sewage — di s po s al 
systems, based upon the square footage 
of nitrification — field required for the 
application rate previously determined. 
Sites classified as provisionally suitable 
should have sufficient available space to 
accommodate a replacement nitrification 

field. AH — systems — wi#) — a — de s ign 

capacity of over 3.000 gallons per day 
shall have provided sufficient area to 
accommodate a replacement nitrification 

feMr 

fft — Location of Septic Tank Systems 

fB Every — septic — task- — system — shaW — be 

located at least the minimum horizontal 

distance from the following: 

{Ar> — any private water supply: — 100 feet. 

or maximum fea s ible distance, but in 

no ease less than 50 feet: 

ffr) — any community water supply: 1-09 

£ -. ~* ■ 
TTTCTT 

{Gj — s tream s — classified — as — WS I. — WS II. 
WS III: 50 feet; 

{©) — waters clas s ified as SA: 1 00 feet 

from normal high tide mark; 
(E-) — any other stream. — canal. — marsh or 

coa s tal water s : — 50 feet; 

fR — any class I or class — II impounded 

reservoir used as a source of drinking 

water: — 100 feet from high water line; 

f&) — any other lake or impoundment: — 50 

feet from high water line; 
{Hj — any building foundation: — 10 feet: 
<+) — any ba s ement: — 15 feet; 
{}) — any property line: — 10 feet; 
fK-) — top of s lope of terraces, embankments 

or cuts: — 15 feet; 
ft) — any water line: — 10 feet. 

{3} Septic — tank- — systems — shaW — Ret — be 

installed in fill ground unless the site 

complies esse ntially with tbe 

requirements of these Regulation s , and 
i s s pecifically approved by the state or 
local agency. 

(3-) Septic — tank — s y s tem s — s hall — not — be 

installed in swampy areas. 



1765 



8:18 



NORTH CAROLINA REGISTER 



December IS, 1993 



PROPOSED RULES 



> 



> 



> 



44) Septic tanic sy s tems shall be located 

downhill — from — wells — ef — springs, — if 
possible. 

45) Septic tank system s shall not be located 

in areas subject to frequent flooding. 

4€) Septic tank systems shall not be located 

where — ground — water — may — become 
contaminated. 

(7) Septic tank s y s tem s s hall not be located 

under paved areas or driveways, except 
that a solid cast iron or other suitable 
pipe may be permitted to convey the 
effluent — under — a — driveway — from — the 
s eptic tank to the nitrification field. 
4g) — Maintenance 

fh) Septic Tank s . — Any person owning or 

controlling the property upon which a 

septic tank system is installed shall be 

responsible — fef — the — following — items 

regarding — the — maintenance — ef- — the 

s y s tem : 

4-A) — Septic tank s s hall be maintained at all 

times to prevent seepage of sewage or 

effluents to the surface of the ground. 

4fS) — Septic tanks need occa s ional cleaning 

and should be checked at least each 

three — years — to determine — if sludge 

need s — removing — (once — a — yeaf — if 

garbage grinder s arc discharging to 

the tank), 

4G) — Contents removed from septic tanks 

shall be discharged into an approved 

sewer system, buried or plowed under 

at — an — approved — l ocation — within — 34 

hours, or otherwise disposed of at a 

location and in a manner approved by 

the state or local agency. 

(h) Permits 

fB No person shall install or cause to be 

installed — any s ewage disposal — s y s tem 
above — 3,000 gallons — de s ign — capacity 
without first having obtained a written 

permit from the Divi s ion ef 

environmental — management. Permits 

s hall become invalid after 12 months 
from — the — date — ef- — issuance, — if- — the 
installation — has — net — been — completed 

during — that — time — period, unless 

otherwise specified in writing. When a 
permit — has — become — invalid, — the 
installation shall not be commenced or 
completed until a new permit has been 
obtained. 

{3} Any — person — other — than — the — owner, 

tenant or manager of a residence, place 



ef- — bu s ines s , — ef — place — ef- — public 
assembly, who engages in the busine s s 
of con s tructing or installing septic tank 
systems, of the cleaning of septic tonics, 
shah — regi s ter — whh — the — leeal — health 
director — m — the — county — where — he 

operates before constructing ef 

in s talling — septic — tank — systems, — ef 
collecting and disposing of septic tank 
contents. 

Statutory Authority G.S. 130A-335; 143-215.1. 

.0302 TECHNICAL GUIDE FOR 
EVALUATION OF SOIL 
ABSORPTION SITES 

4tt) — Purpo s e. — This technical guide shall be used 
tfi — the — evaluation — ef- — proposed — sites — fef — set! 
ab s orption s y s tems except where the state or local 
agency — determine — that — peculiar — ef — unusual 
circumstances ju s tify the u s e of other criteria 
which shall be con s i s tent with good public health 
practice. 
4h) — Site Factors 

4±j Topography 

(A) — In order to determine whether a site 
can be used for dispo s ing of a septic 
tank — effluent, — a number of factors 
s hall — be — taken — wte — consideration. 
These factors include topography, soil 

characteristics, ground water 

elevation, depth of impervious strata, 
and percolation tests. 
4&) — Uniform s lope s under 15 percent s hall 
be considered suitable with respect to 

topography. When slopes are le ss 

than two percent, provisions shall be 
made to insure good surface drainage 
of rainfall or runoff from buildings or 
paved areas. — Complex slope patterns 
and slopes dissected by deep gullies 

and ravines arc not suitable. The 

surface — area — ea — ef — around — a — seH 
absorption system shall be graded to 
provide adequate drainage; and s uch 
a system shall not be located in a 

depressed — area. Good — surface 

drainage — is — essential — and — shah — be 
provided to — prevent soil — s aturation 
around — the — s y s tem — during — rainy 
periods. 
{€) — Uniform slopes between 15 percent 
and 30 percent shall be considered 
provisionally suitable with respect to 
topography, if the soils are deep and 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1766 



PROPOSED RULES 



there — a+e — ne — restrictive — horizons. 
Complex — slope pattern s and — slopes 
dissected by deep gullie s and ravines 
are not suitable. — Slope s within this 
range — may — require — installation — ef 
drainage lines up s lope from the soil 
absorption — system — te — remove — aW 
excess water that might be moving 
laterally through the s oil during wet 
period s of the year. — The interception 
of lateral — ground — water — movement 
s hall be provided where necessary to 
prevent soil saturation around the soil 

absorption — system . Usable — area s 

larger than minimum arc ordinarily 
required in this slope range. 
{&) — Slopes greater than 30 percent shall 
be — considered — unsuitable — unless — a 

thorough study ef- the smi 

characteristics — indicate — that — a — se+1 

absorption s ystem w+H function 

satisfactorily — a+>d — sufficient — ground 
area i s available to properly install 
such a system. 

{3} Se+1 — Characteristics. Unless — set} 

characteristics — have — been — previously 
established, soil borings shall be taken 
i-n — the — area — te — be — used — fef — se+1 
absorption systems. — Such borings shall 
be taken to depth s of at least 4 8 inches. 
From these soil borings and observation 
of core samples, most of the significant 
soil characteristics can be evaluated; 
and a determination can be made as to 
the — suitability — of the — se+1 — te — absorb 
septic tank effluent. — The important soil 

characteri s tic s which shall be 

determined are as follows: 
(A-) — Texture. — The relative amounts of the 
different sizes of mineral particles in 
a soil is referred to a s s oil texture. 
All soil s arc composed of sand (2.0 to 
0.05 mm in size), s ilt, which include s 

intermediate sized particles that 

cannot be seen with the naked eye, 
but — feels — Itk-e — flour — when — pressed 
between the fingers (0.05 to 0.002 
mm — m — size). — and — e+ay; — which — is 
extremely small in size and is the 
mineral particle that give s cohe s ion to 
a soil (less than 0.002 mm in size). 
The texture of the different horizon s 
of soils may be classified into three 
general classes: 
{+) Sandy Textures. — Soils that exhibit 



a gritty feel when rubbed between 
the fingers, — that crumble when 
moi s t or wet, and that will not 
leaf out when pressed between the 
thumb and index finger, should be 

classified as sandy textures. 

Sandy soils contain more than 70 
percent s and s ized particle s in the 
soil mass. — These soils do not 
have enough clay to be cohesive. 

Sandy s oil s have favorable 

percolation rates, but may have a 

tew — filtering — capacity. Sandy 

soils shall be considered suitable 
with re s pect to texture. 

{++) Loamy — Soils. When — moi s t or 

wet^ — loamy soils may be rolled 
into a ball that will stick together. 

but — is — ea s ily — cru s hed. When 

pressed — between — the — fingers, 
loamy — se+1 — w+H — leaf out — from 
between the fingers to one fourth 
to one half inch before breaking. 
Loamy s oils contain le ss than 70 
percent — sand size — particles — and 
more than — 18 percent clay sized 
particle s in the soil mas s . — They 
exhibit — little — ef — r+e — stickiness. 

Loamy sei+s gen e rally have 

favorable percolation rates and are 
excellent filters. — Loamy soils are 
the — most — desirable — te+ — e ffluent 
treatment and shall be considered 
s uitable with respect to texture. 

{+++) Clayey — Soil s . The s e — ate — s oil s 

with more than 4 percent of the 
se+1 — mass — made — up — ef- — e+ay 

particle s . Clay e y — s oil s . — when 

moi s t or wet, may be rolled into a 
compact, smooth ball and resi s t 
pressure — when — crushed — between 

the — finger s . When — wet — aad 

pressed — between — the — finger s , 
clayey soils will leaf out one half 
tneh — er — more — i-n — length — before 
breaking. — The type or kind of 
clay in soils is very significant. 
There — a+e — twe — major type s — ef 

clay s : the — 1:1 clay s (kaolinite) 

which does not shrink when dry 
or swell when wet; and the 2:1 
clays (montmorillonite) that will 
s hrink when dry and s well when 
wet; — The 2:1 clays crack when 
dry and allow water or s eptic tank 



1767 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



effluent to move freely through 
the soil for 4 8 to 72 hours. — They 
then become saturated and swell, 
resulting — m — He — movement — ef 
liquids through the soil. — The 2 : 1 
clays may sometimes be identified 
by the pre s ence of cracks in the 
s oil when dry, and are plastic and 
s ticky when wet. The s e clays will 
have an olive and greyish mottled 

appearance, e-f splotches 

intermingled with the yellow and 

red clay color s . The — t-r4 — etay 

soils shall be con s idered 

provisionally suitable as te 

texture; 2*4. clays — shall — be 

considered unsuitable as te 



texture. 



dcred 



f+v) Organic soils shall be consi 

unsuitable as to texture. 

fB) — Soil Structure. In many soils, the 

sand, silt, and clay particle s tend to 
cling or stick to one another to form 
a ped or a clump of soil. This is 

known — as — se+1 — structure. Seii 

structure may have a significant effect 
on the movement of effluent through 
a soil. — The s tructure may determine 
the — pate — ef- — movement — ef- — liquids 
through clayey soils. — Structure i s not 
very important in s andy textured s oil s 
or in loamy textured soils, and these 
typ e s — of soils — s hall — be — considered 
s uitable as to structure. — The three 
kind s of s oil s tructure that are mo s t 
significant — m — movement — of sewage 
effluent — through — s oil s — are — blocky, 
platy, — at+d — the — ab s enc e — ef- — se+1 
structure of massive conditions: 

ft Blocky Soil Structure 

ft) tfl — clayey — s oil s . — if the — sett 

exhibits many peds or angular 
and subrounded peds, then the 
s oil s — have — blocky — s tructure. 
The sewage effluent may move 
between the — cracks — of these 
blocky typ e s of ped s . — Blocky 
soil structure in clayey s oil s i s 

frequently de s troyed by 

mechanical equipment 

manipulating the s oil when it 

is — tee — wefc Trenche s — fef 

nitrification lines being placed 
«i — clayey — setts — with — blocky 
structure should only be dug 



when s oils arc moist or dry. 
Blocky soil structure in clayey 

soils — s hall be — con s idered 

provisionally — suitable — as — te 
structure. 

(ft Some — rocks, — even — though 

weathered, — s uch as slates or 
crevices — ©f — fractured — rocks, 
exhibit blocky s tructure, which 
+s — net — changed — by — moving 
water, thereby allowing fluids 
te — move — downward — without 
filtration. — Such soils shall be 
considered — unsuitable — as — te 
structure. 



fit) Platy Soil Structure. If clayey 

soils fall out into platelike s heets, 
then the soils would have platy 
s tructure; — and water or effluent 
movement through these horizons 
would be extremely s low, and the 
structure — she+1 — be — con s idered 
unsuitable. 

(tit) Absence of Soil Structure. — Some 

clayey soils exhibit no structure 
aggregates; and in these kind s of 
s oil s , percolation would be zero 
or extremely slow. — Such s tructure 
shall be considered unsuitabl e . 

f&) — Se+1 — Depth . The — depth — ef- — seits 

classified a s s uitable or provi s ionally 
suitable as to texture and s tructure 
shall — be — at — least — 48 — inches — when 

conventional ground absorption 

s ystem s are to be utilized. 

(©) — Restrictive — Horizons. Re s trictive 

layer s — et= — horizon s — m — seits — may 
generally — be — recognized — by — the 
resistance offered in digging a hole or 

in — u s ing a s oil — auger. Re s trictive 

horizons — are variable m — their 

characteristics. Massive — e+ — solid 

bedrock — may — be — classed — as — a 

restrictive — horizon. Where — this 

bedrock lies shallower than 48 inche s 
to the surface, it will perch s ewage 
effluent and in many instance s will 
allow — sewage — e ffluent — te — move 
laterally and s eep to the surface on a 
lower part of the landscape. — Another 
re s trictive horizon may be cau s ed by 
iron pans or plinthite. These horizons 
may generally be recognized by their 
brittleness and by the pre s ence of red 
and grey colored s oil materials. — The 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1768 



PROPOSED RULES 



red materials quite frequently will be 
in the form of nodules or very brittle 
fragments, — These kind s of horizons 
will also perch sewage effluent and 
limit the storage capacity of a soil 
being used for di s position of effluent. 
The third common restrictive horizon 
is a cemented iron aluminum organic 
hardpan. — This is very brittle when 
dry and will perch s ewage effluent. 
Soils in which restrictive horizon s are 
less than 4 8 inches below the ground 
surface or le ss than 12 inche s below 
the — trench — bottom — ef- — subsurface 
nitrification line s s hall be considered 
unsuitable. — except — m — cases — where 
restrictive horizon s occurring close to 
the ground surface have underlying 
setl — stratas — suitable — fef — s ub s urface 
disposal, and the ground water table 
ts — at — teas* — 48 — inche s — below — the 

restrictive horizon. In these cases, 

the soil shall be con s idered s uitable 
with respect to restrictive horizons, 
provided — the — restrictive — horizon — is 
penetrated. 
{E) — Soil Drainage. — Soils with seasonally 
hhjh — water — table s — are — ef- — major 
concern in evaluating sites for sewage 
effluent di s po s al. — These are the soil 
areas that give good percolation rate s 
during dry sea s ons of the year but 
force sewage effluent to the surface 
during the wetter s ea s on s . — Th e depth 
of the s easonal high water table can 
commonly — be — recognized — by — those 
examining s oil profile s . — The criteria 
for recognition of high water tables is 

that — ef- — setl — color. Sub s urface 

horizons that are in colors of reds, 
yellow s and brown s indicate good s oil 
aeration and drainage throughout the 
year. — Subsurface horizons that are in 
colors of grey, olive or bluish colors 
indicate poor aeration and poor soil 

drainage. These — du+1 — ef — greyi s h 

colors may occur a s a s olid ma s s of 
soil or may be in mottles or localized 
s pots. — The volume of greyish colors 
is indicative of the length of time that 
free water s tand s in that s oil profile. 
There are soils that have light colored 
mottles — which — afe — rehe — from — the 
light colored — reek — from — which — the 
s oil s — have — weathered. The s e — soils 



would not have highwater tables, so 
one mu s t distinguish between a true 
soil composed of sand, silts and clays, 
or the rock material that may still 

exi s t in th e s oil profile. Any soil 

profile that ha s the greyish — color s , 
indicative of high wat e r tablca, or i3 
subject to tidal or periodic high water, 
within 36 inches of the surface shall 
generally be considered unsuitable as 

te — drainage. Where — the — setl — ts 

considered s uitable as to structure and 
textur e , — and — modifications — ean — be 
made to keep the ground water table 
at lea s t 12 inches below the bottom of 
the — trench, — stteh — setis — shall — be 
con s idered provisionally suitable as to 
drainage. 

{M Percolation Tests. Unless sett 

characteristic s — have — been — previously 
established, at least three percolation 
te s ts s hall be made in the exact area 
where the nitrification lines are to be 
installed. — Such percolation tests shall 
be — conducted — m — accordance — with 
procedures outlined in DHS Bulletin 
No. 519, approved by the State Board 
of Health on March 17, I960. If the 
average time for the water to fall one 
inch in the test hole is 30 minute s or 
less — the — percolation — test — shall — be 
considered suitable; between 30 minutes 
and 60 minute s , provi s ionally suitable; 
and — ever — 60 — minutes, — un s uitable. 
However, — tf- — the — set} — texture — and 
structure are classified as s uitable or 
provisionally suitable, percolation rates 
up to 120 minutes may be con s idered 

provisionally — s uitable. There — is 

dissension evef the validity ef 

percolation tests. — It is certain that one 
percolation hole on a site docs not 
indicate the ability of a soil area to 

handl e — sewage — effluent. Where 

percolation — tests — afe — used, — three 
percolation tests should be conducted in 
the exact area that nitrification fields 

w+H — be — installed. Variability — in 

percolation te s t s re s ult for the following 

reasons: percolation — test — hole s 

repre s ent only a s mall portion of the 
filter field; — root channels — em4 — worm 
holes intercepting the percolation hole 
will give erroneou s percolation re s ults; 
moisture condition s at the time of the 



1769 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



) 



) 



percolation test w+H gtve wide 

variability if) re s ults; mechanical 

d i gging — ef — auger — boring — fef — the 
percolation hole will often destroy soil 
structure; dry clays, with s hrink s well 
potential, — wtH — give good percolation 
rates for a s long as 48 to 72 hours; the 
characteristics — of sewage effluent arc 
different from those of the water used 
in percolation te s ts. — Soils with sandy 
ef — loamy textured — profiles, — without 
restrictive horizons, or in the absence 
ef- — high — water — tables — w+H — g+ve 
percolation rate s of less than 60 minutes 

per inch. Soil s with clayey profiles 

will commonly have percolation rate s of 
greater — then — 60 — minutes — pef — inch, 
dependent on s oil — structure, — kind of 
clay, and past land use. 

{4} Determination of Soil Suitability. — Ati 

of the criteria under topography, s oil 
characteri s tic s and p e rcolation te s ts [(1) 
t© — (^) — of this — Subdivision] — shall — be 
determined to be suitable, provisionally 
suitable or unsuitable as indicated. — U 
all criteria arc cla ss ified the s ame, that 
classification will prevail. — However, it 
ts — unlikely — that — aH — criteria — w+H — be 
classified — the same — in all — situations. 
Where — there — is — a — variation — m 
classification of the s everal criteria, the 
following shall be u s ed in making the 

overall d e t e rmination, and is 

summarized in Regulation .0305 of this 
Section: 
(A) — If the soil structure is classified as 
unsuitable, the overall classification 
will be un s uitable, regardles s of the 
c la ss ification of the other criteria. 
tB} — If the s oil texture — is classified — as 
unsuitable, and the s oil structure i s 
provi s ionally s uitable, the soil texture 
may be reclassified a s provisionally 
s uitable. 
{€) — When — se+1 — depth — is — cla ss ified — as 
un s uitable, it may be recla ss ified as 
provisionally — s uitable — if- — shallower 
trenches or a mound s ystem can be 
constructed. 
+©) — When — the — restrictive — horizon — is 
classified un s uitable, it may be recla 3 
sifted as suitable under the conditions 
outlined in (2)(D) of thi s Subdivision. 
fE) — When drainage (ground water level) is 
unsuitable, it may be reclassified as 



provisionally suitable under the condi - 
tion s outlined in (2)(E) of this Subdi 
vi s ion. 
(F) — Percolation — rates — m — exce ss — ef- — 60 
minutes, but not exceeding 120 min 
ute s may be cla ss ified a s provisionally 
s uitable under conditions outlined in 
(3) of thi s Subdivi s ion. 

f§-) Available Space. — Site s shall have suffi 

cicnt — available — space — te — permit — the 
in s tallation and proper functioning of 
ground — absorption — sewage — dispo s al 
s y s tem s , ba s ed upon the s quare footage 
of nitrification — field required for the 
application rate previously determined. 
Site s cla ss ified a s provi s ionally suitable 
should have sufficient available space to 
accommodate a replacement nitrification 
field. — All sy s tem s with a de s ign capaci 
ty of over 3,000 gallons per day shall 
have provided s ufficient area to accom 
modate a replacement nitrification field. 

f6) Application Rat es . — In determining the 

volume of sewage from residence s , the 
flow rate shall be 75 gallons per per s on 
per day; and each bedroom shall be 
considered the equivalent of two per 

s on s . For e s tabli s hments other than 

residence, the flow rate s hall be deter 
mined from Regulation .030 4 of thi s 
Section. — In calculating the amount of 
square feet of area needed for the nitri 
fication — f4e4d — m — trench — system, — the 
maximum — trench — width — ased — m — the 
calculations shall be 36 inches, even 
though the actual trench width may be 
con s tructed larg e r. — Trenches shall be 
not less than eight feet on centers. — The 
s tate or local agency may permit the 
u s e of a bed s y s tem in lieu of a trench 
system for the nitrification field when it 
ha s been det e rmined that the trench 
system — is — impractical — ©f — impossible 
because of topography or space limita 

tions. In such ca s e s , the amount of 

square feet — of area — needed — s hall — be 
increa s ed — by — §0 — percent — evef — what 
would be required for a trench system; 
or in lieu of the added area, the amount 
of gravel or s tone under the drain lines 
shall be increa s ed to a depth of not less 
than 12 inche s . — The extra area is need 
cd to compensate for the loss of trench 
s idewall area in the bed systems. — Drain 
lines shall be at lea s t 1 8 inches from the 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1770 



PROPOSED RULES 



side of the bod and shall be not less 

than threo foot on centers: 

fA-) — Sites classified as suitable may receiv e 

application of septic tank effluents up 

te — 1.5 gallons per square foot per 

<-B) — Sites classified as provisionally suit 
able may receive septic tank effluents 
up to 0.75 gallons per s quare foot per 
davi — except — that — where — percolation 
rates exceed 60 minutes per inch, the 
application rate shall not exceed 0.5 
gallons per square foot per day. 
{€) — Sites classified as un s uitable shall not 
be used for soil absorption di s po s al 

systems. unle ss engineering. 

hydrogeologic. and se+1 s tudies 

indicate to the state or local agency 
that a suitable alternative to a septie 
tank system can rea s onably be cxpeet 
ed to function s atisfactorily. 

f?) Other — Applicabl e — Factors — Involving 

Accepted Public Health Principles. The 
site evaluation should include consider 
ation of any other applicable factors 
involving accepted public health princi 
pie s , such a s : 

{A} the proximity of a large capacity water 

supply — well. — the — cone — of influenoe — ef 
which would dictate a larger s eparation 
distance than the minimum di s tance s pcei 
fied in Regulation .0301(f) of this Seetion: 



(B) the potential public health hazard of 
possible failures of soil absorption 
systems involving large quantities of 
sewage, which would dictate larger 
separation distances than the mini- 
mums specified in Regulation .0301(f) 
of this Section; 

(C) the potential public health hazard of 
possible massive failures of soil ab- 
sorption systems proposed to serve 
large numbers of residences, as in 
residential subdivisions or mobile 
home parks; 

(D) other circumstances peculiar to indi- 
vidual situations. 

Statutory Authority G.S. 130A-160; 143-215.1. 

.0303 INTERPRETATION AND 

TECHNICAL ASSISTANCE 

The provi s ion s of thi s technical guide shall be 
interpreted, as applicable, in accordance with the 
recognized principles and practices of soil science. 
State ageneies will — provide technical assistance. 
Local agencies s hall obtain technical assistance 
from soil s cientist personnel, and local soil survey 
information. 

Statutory Authority G.S. 130A-160; 143-215.1. 



.0304 TABLE NO. I 

The following e s timates of sewage quantities are the minimums required for use in determining whether 
or not a sewage disposal sy s tem ha s a de s ign capacity of above 3,000 gallons and for determining the flow 
rate for establishments other than residences. — The figures include volume neces s ary to handle the sewage 
flow and provide sludge storage, and may differ from e s timated sewage flows u s ed in the de s ign of 
municipal or community sewerage s y s tem s : 



Type of E s tabli s hments 



Daily F lew 
For Des tgfl 



Airports, also RR Stations, bus terminals, 
(not including food service facilitie s ) 



— § — gal/passenger 
400 — gal/chair 



Barber Shop s 



Beauty Shops — 
Bowling Alleys 



455 — gal/booth or bowl 



-50 — gal/lane 



Camps 



Construction or work camps 



-50 — gal/person 
-50 — gal/person 



Summer camps 



Camp ground s 
Churches 



450 — gal/campsite 
— 5 — gab member 



Country Clubs Resident members 

Non re s ident member s 



75 gal/t 



/per s on 
-30 — gal/person 



1771 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



Day Care Facilities 

Factories (exclusive of indu s trial 



45 — gal/person 



wastes) per s hift 



— 35 — gal/person 
300 gal/bed 



Hospitals 

Laundries (self service) 
Motels/Hotels 



500 — gal/maehinc 
— 75 — gal/room 



With cooking facilitie s in room 



Re s ort 



Office s per shift 

Nursing/Rest Homes With laundry 



435 — gal/room 
-39© — gal/room 



—35 — gal /person 
150 gal/bed 



Without laundry 



Residential Care Facilities 



75 gal/bed 



-35 — gal/per s on 



Restaurants 



-4© — gal/scat 



Schools: — Day School s 



45 — gal/person 



Note: — Use 20 gal/person if aerobic 
treatment i s propo s ed 



Boarding School s 
Day Workers 



Service Station s 



-75 — gal/person 
-35 — gal/person 



-35© — gal/water closet 



Stores 



Note: if food service is included, 
add 4 gal/scat 



mai 



25© — gal/water closet 
or urinal 



Swimming Pools and Bathhouses 
Theaters Auditoriums 



40 — gal/person 



-% — gal/ s eat 



Drive In 



-5 — gal/car space 



Travel Trailer Parks 



45© — gal/space 



Statutory Authority G.S. 130A-160; 143-215.1. 

.0305 TABLE NO. II 

Possible modifications of initial cla s sification — (This tabic doe s not include all possible combinations, but 
include s tho s e which could result in up grading the initial classification.): 



Initial 



Modify m g - 
— Factors — 



Final 



Criteria 



Cla ss ification 



Classification s 



1 . Topography 



Unsuitable 



Soil Characteristics 



Provisionally 
Suitable 



2. Soil Characteristics 
iet) — Texture 



Unsuitable 



Suitable or Provis 



— ionally Suitable, 
and Sufficient Area 



Available 



Soil Structur 



Ml structure 
Provisionally 
Suitable, Soil 



Provisionally 
Suitable 



fb) — Structure 



Un s uitable 



Depth, Restrictive 
— Horizon and 



Drainage Suitable 
None 



— Unsuitable 
Provisionally 
Suitable 



te) — Depth 



fd) — Re s trictive 



Un s uitable 



Unsuitable 



U s e of Shallow 



Trench Use of 



— Mount System 
Restrictive Hori 



Suitable 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1772 



PROPOSED RULES 



Horizon 



fe) — Drainage 



Unsuitable 



zon Close to Sur 



faee: Underlying 



Soil Strata Suitable; 



Water Table One Foot 



or More Below Bottom 



of Treneh 



Lower Ground 



Provi s ionally 



Water Table to 



Suitable 



3. Ground Water 



Un s uitab l e 



at Lea s t One Foot 



Below Bottom of 



Treneh 



Lower Ground 



Provisionally 



Elevation 



Water Table to 



Suitable 



4 . Depth to 



Un s uitable 



Qt Lea s t One Foot 



Below Bottom of 



Treneh 



Re s trictive 



Provisionally 
Suitable 



Impervious 
Strata 



Horizon Close to 



5. Percolation 



Un s uitable 



Surface; Underlying 



Soil Strata Suitable; 



Water Table One Foot 



or More Below Bottom 



of Trench 



Soil Structure 



Provisionally 



fet- 



(60 120 min/in) 



and Texture 



Suitable 



Suitable or 



Provisionally 
Suitable 



Statutory Authority G.S. 130A-160; 143-215.1. 

.0306 APPLICABILITY: VIOLATIONS 

For applicability of rules and — regulation s for 
ground ab s orption s y s tems of 3,000 gallons or less 
design capacity, see regulation of the Commission 
for Health Services. — Any violations of the rules 
and regulation s of thi s Section s hall be s ubject to 
the s anctions provided in North Carolina General 
Statutes 1 4 3 215.6. 



Statutory Authority G. S. 
143-215.6. 



130A-160; 143-215.1; 



lSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Re- 
sources Commission intends to amend rule cited as 
ISA NCAC 10B .0115. 

1 he proposed effective date of this action is 
March 1. 1994. 



1 he public hearing will be conducted at 7:00 
p.m. on January 10, 1 994 at the Buncombe Countv 
Courthouse, 60 Court Plaza, Asheville, NC 28801. 

ixeason for Proposed Action: - To establish a 
prohibition against shining lights in Buncombe 
County. 

K^omment Procedures: Interested persons may- 
present their views either orally or in writing at 
the hearing. In addition, the record of hearing 
will be open for receipt of written comments from 
December 15. 1993 to January 14, 1994. Such 
written comments must be delivered or mailed to 
the N.C Wildlife Resources Commission, 512 N. 
Salisbury Street. Raleigh, NC 27604-1 1 88. 

CHAPTER 10 - WILDLIFE 
RESOURCES COMMISSION 

SUBCHAPTER 10B - HUNTING 
AND TRAPPLNG 



1773 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



SECTION .0100 - GENERAL 
REGULATIONS 

.0115 SHINING LIGHTS IN DEER AREAS 

(a) It having been found upon sufficient evi- 
dence that certain areas frequented by deer are 
subject to substantial unlawful night deer hunting, 
or that residents in such areas have been greatly 
inconvenienced by persons shining lights on deer, 
or both, the shining of lights on deer in such areas 
is limited by Paragraphs (b) and (c) of this Rule, 
subject to the exceptions contained in Paragraph 
(d) of this Rule. 

(b) No person shall, between the hours of 1 1 :00 
p.m. and one-half hour before sunrise, intentional- 
ly shine a light upon a deer or intentionally sweep 
a light in search of deer in the indicated portions 
of the following counties: 

(1) Beaufort — entire county; 

(2) Bladen — entire county; 

(3) Brunswick -- entire county; 

(4) Camden — entire county; 

(5) Chowan -- entire county, 

(6) Currituck -- entire county; 

(7) Duplin — entire county; 

(8) Franklin -- entire county; 

(9) Gates -- entire county; 

(10) Greene — entire county; 

(11) Hertford — entire county; 

(12) Hoke -- entire county; 

(13) Hyde — entire county, except that part 
of the county described in Paragraph (c) 
of this Rule; 

(14) Jones — entire county; 

(15) Lenoir -- entire county; 

(16) Martin -- entire county; 

(17) Nash -- entire county; 

(18) Pamlico — entire county; 

(19) Pasquotank — entire county; 

(20) Pender — entire county; 

(21) Perquimans -- entire county; 

(22) Pitt — entire county; 

(23) Richmond -- entire county; 

(24) Sampson — entire county; 

(25) Tyrrell — entire county; 

(26) Vance -- entire county; 

(27) Wake -- entire county; 

(28) Warren — entire county; 

(29) Washington — entire county; 

(30) Wayne -- entire county. 

(c) No person shall, between the hours of 
one-half hour after sunset and one-half hour before 
sunrise, intentionally shine a light upon a deer or 
intentionally sweep a light in search of deer in the 
indicated portions of the following counties: 



(1) Alamance — entire county; 

(2) Alexander — entire county; 

(3) Alleghany — entire county; 

(4) Anson -- entire county; 

(5) Ashe -- entire county; 

(6) Avery — that portion south and east of 
Highway 22 1 ; 

(7) Buncombe County — entire county; 

(8) (74-Burke -- entire county; 

(9) (84 Cabarrus — entire county; 

(10) (9) Caswell — entire county; 

(1 1) (40) Catawba — entire county; 

(12) (444 Chatham -- entire county; 

(13) (43) Clay — entire county; 

(14) (44) Cleveland -- entire county; 

(15) (44) Cumberland — entire county; 

(16) fl-5) Davidson — entire county; 

(17) (46) Davie — entire county; 

(18) (44) Durham — entire county; 

(19) (48) Edgecombe — entire county; 

(20) (49) Forsyth County — entire county; 

(21) (20) Gaston — entire county; 

(22) (344 Granville — entire county; 

(23) (2-3) Guilford — entire county; 

(24) (34) Halifax - entire county; 

(25) (34) Harnett — entire county; 

(26) (35) Henderson — entire county; 

(27) (36) Hyde — that part bounded on the 
north by a line running parallel with 
and 1000 yards in a northward direction 
from that part of SR 1304 that leads 
from Hodges' Fork to Rose Bay, on the 
east by the Mattamuskeet National 
Wildlife Refuge boundary, on the 
southeast by US 264, and on the west 
and southwest by a line running parallel 
with and 1000 yards in a west or 
southwest direction from the centerline 
of SR 1304; 

(28) (37) Iredell — entire county; 

(29) (38) Johnston — entire county; 

(30) (39) Lee -- entire county; 

(31) (40) Lincoln -- entire county; 

(32) (444 Macon -- entire county; 

(33) (43) McDowell — entire county; 

(34) (434 Mecklenburg — entire county; 

(35) (44) Mitchell - entire county; 

(36) (45) Montgomery -- entire county; 

(37) (46) Northampton — entire county; 

(38) (37) Orange County — entire county; 

(39) (48) Person — entire county; 

(40) (49) Polk - entire county; 

(41) (40) Randolph — entire county; 

(42) (444 Robeson County — entire county; 

(43) (43) Rockingham — entire county; 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1774 



PROPOSED RILES 



(44) (4^) Rowan -- entire county; 

(45) (44) Rutherford -- entire county; 

(46) (45) Stanly — entire county; 

(47) {46) Stokes — entire county; 

(48) (47) Surry — entire county; 

(49) (48) Transylvania — entire county; 

(50) (49) Union -- entire county; 

(51) (50) Watauga — entire county; 

(52) (54-) Yancey -- entire county. 

(d) Paragraphs (b) and (c) of this Rule shall not 
be construed to prevent: 

(1) the lawful hunting of raccoon or 
opossum during open season with 
artificial lights designed or commonly 
used in taking raccoon and opossum at 
night; 

(2) the necessary shining of lights by 
landholders on their own lands; 

(3) the shining of lights necessary to nor- 
mal travel by motor vehicles on roads 
or highways; or 

(4) the use of lights by campers and others 
who are legitimately in such areas for 
other reasons and who are not attempt- 
ing to attract or to immobilize deer by 
the use of lights. 

Statutory Authority G.S. 113-134; 113-291.1; S.L. 
1981. Ch. 410; S.L. 1981 (Second Session 1982), 
Ch. 1180. 

IS otice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Re- 
sources Commission intends to amend rule cited as 
15A NCAC IOC .0407. 

1 he proposed effective date of this action is June 
1. 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 4, 1994 at the Archdale Building, 
3rd Floor Conference Room, 512 N. Salisbury 
Street, Raleigh, NC 27604-1 188. 

MXeason for Proposed Action: To close the season 
on blackftsh (bowfinj in certain rivers of the State. 

K^omment Procedures: Interested persons may 
present their views either orally or in writing at 
the hearing. In addition, the record of hearing 



will be open for receipt of written comments from 
December 15. 1993 to January 14, 1994. Such 
written comments must be delivered or mailed to 
the N. C Wildlife Resources Commission, 512 N. 
Salisbury Street, Raleigh, NC 27604-1 188. 

tLditor's Note: Tliis Rule was filed as a tempo- 
rary amendment effective December 1, 1993 for 
a period of 180 days or until the permanent rule 
becomes effective, whichever is sooner. 

SUBCHAPTER IOC - INLAND FISHING 
REGULATIONS 

SECTION .0400 - NONGAME 
FISH 

.0407 PERMITTED SPECIAL DEVICES 
AND OPEN SEASONS 

Except in designated public mountain trout 
waters, and in impounded waters located on the 
Sandhills Game Land, there is a year-round open 
season for the licensed taking of nongame fishes 
by bow and arrow. Seasons and waters in which 
the use of other special devices is authorized are 
indicated by counties below: 

(1) Alamance: 

(a) July 1 to August 31 with seines in 
Alamance Creek below NC 49 bridge 
and Haw River; 

(b) July 1 to June 30 with gigs in all public 
waters; 

(2) Alexander: July 1 to June 30 with traps 
and gigs in all public waters; and with 
spear guns in Lake Hickory and Lookout 
Shoals Reservoir; 

(3) Alleghany: July 1 to June 30 with gigs 
in New River, except designated public 
mountain trout waters; 

(4) Anson: 

(a) July 1 to June 30 with traps and gigs in 
all public waters; 

(b) December 1 to June 5 with dip and bow 
nets in Pee Dee River below Blewett 
Falls Dam, and with gill nets in Pee 
Dee River below the lower end of Goat 
Island; 

(c) July 1 to August 31 with seines in all 
running public waters, except Pee Dee 
River from Blewett Falls downstream to 
the Seaboard Coast Line Railroad tres- 
tle; 

(5) Ashe: July 1 to June 30 with gigs in 
New River (both forks), except designat- 



7775 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



(7) 
(a) 

(b) 



ed public mountain trout waters; 
(6) Beaufort: 

(a) July 1 to June 30 with traps in the 
Pungo River, and in the Tar and 
Pamlico Rivers above Norfolk and 
Southern Railroad bridge; and with gigs 
in all inland public waters; 

(b) December 1 to June 5 with dip and bow 
nets in all inland public waters; with 
drift gill nets in Tar River upstream 
from the Norfolk and Southern Railroad 
bridge at Washington to the Pitt County 
line; and with gill nets in all other 
inland public waters, except Blounts 
Creek, Chocowinity Bay, Durham 
Creek, Mixon Creek and Nevil Creek 
and their tributaries. 

Bertie: 
July 1 to June 30 with traps in the 
Broad Creek (tributary of Roanoke); 
December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters; 

(8) Bladen: 

(a) December 1 to March 1 with gill nets 
in all inland public waters, except 
Jones, Salters, White, Singletary and 
Bay tree (Black) Lakes; 

(b) December 1 to May 1 with gill nets in 
Black River; 

(c) December 1 to June 5 with dip and bow 
nets in Black River; 

(9) Brunswick: 

(a) December 1 to March 1 with gill nets 
in all inland public waterSi except 
Waccamaw River and its tributaries ; 

(b) December 1 to May 1 with dip, bow, 
and gill nets in Alligator Creek, Hoods 
Creek, Indian Creek, Orton Creek 
below Orton Pond, Rices Creek, 
Sturgeon Creek and Town Creek; 

Buncombe: July 1 to June 30 with gigs 

in all public waters, except designated 

public mountain trout waters; 

Burke: 
July 1 to August 31 with seines in all 
running public waters, except Johns 
River and designated public mountain 
trout waters; 
(b) July 1 to June 30 with traps, gigs, and 
spear guns in all public waters, except 
designated public mountain trout waters 
and Lake James; 



(10) 



(ID 
(a) 



(12) 
(a) 

(b) 

(13) 



(14) 

(a) 

(b) 



(15) 



(16) 

(a) 

(b) 



(c) 

(17) 
(a) 



(b) 

(18) 
(a) 



(b) 
(c) 

(19) 



(20) 
(a) 



Cabarrus: 
July 1 to August 31 with seines in all 
running public waters, 
July 1 to June 30 with traps and gigs in 
all public waters; 
Caldwell: July 1 to June 30 with traps, 
gigs, and spear guns in all public waters, 
except designated public mountain trout 
waters; 
Camden: 
July 1 to June 30 with traps in all 
inland public waters; 
December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters; 
Carteret: December 1 to June 5 with 
dip, bow, and gill nets in all inland 
public waters except South River and the 
tributaries of the White Oak River; 
Caswell: 
July 1 to June 30 with gigs in all public 
waters; 

July 1 to August 31 with seines in all 
running public waters, except Moons 
Creek; 

July 1 to June 30 with traps in Hyco 
Reservoir; 
Catawba: 
July 1 to August 31 with seines in all 
running public waters, except Catawba 
River below Lookout Dam; 
July 1 to June 30 with traps, spear 
guns, and gigs in all public waters; 
Chatham: 
December 1 to April 15 with dip and 
gill nets in the Cape Fear River, Deep 
River, Haw River and Rocky River 
(local law); 

July 1 to August 31 with seines in the 
Cape Fear River, and Haw River; 
July 1 to June 30 with traps in Deep 
River; and with gigs in all public 
waters; 
Cherokee: July 1 to June 30 with gigs in 
all public waters, except designated 
public mountain trout waters; 
Chowan: 
December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters, except 
Bennetts Mill Pond and Dillard Pond; 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1776 



PROPOSED RULES 



(hi 



(21) 



(22) 
(a) 

ib, 

(23) 
(a) 



(bJ 



(cb) 

(24) 
(a) 

(b) 



(25) 

(26) 
(a) 

(b) 



(27) 
(a) 



(b, 



July 1 to June 30 with traps in all 
inland public waters, excluding public 
lakes, ponds, and other impounded 
waters ; 

Clay: July 1 to June 30 with gigs in all 

public waters, except designated public 

mountain trout waters; 

Cleveland: 
July 1 to August 31 with seines in all 
running public waters; 
July 1 to June 30 with gigs, traps and 
spear guns in all public waters; 

Columbus: 
December 1 to March 1 with gill nets 
and gigs in all inland public waters, 
except Lake Waccamaw and its inlets 
tributaries and Waccamaw River and its 
tributaries ; 

December 1 to March 1 with gigs m all 
inland public waters, except Lake 
Waccamaw and its tributaries; 



(28) 

(a) 



December 1 to June 5 with dip, bow. 
and gill nets in Livingston Creek; 

Craven: 
July 1 to June 30 with traps in the main 
run of the Trent and Neuse Rivers; 
December 1 to June 5 with dip, bow, 
and gill nets in all inland public waters, 
except Pitch Kettle, Grindle, Slocum, 
Spring and Hancock Creeks and their 
tributaries; with dip and bow nets in 
Slocum Creek above the US 70 bridge; 
and with seines in the Neuse River; 

Cumberland: December 1 to March 1 

with gill nets in all inland public waters; 

Currituck: 
July 1 to June 30 with traps in Tulls 
Creek and Northwest River; 
December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in Northwest River and Tulls 
Creek; 

Dare: 
July 1 to June 30 with traps in Mashoes 
Creek, Milltail Creek, East Lake and 
South Lake; 

December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in Martin Point Creek; 

Davidson: 
July 1 to August 31 with seines in all 



running public waters, 
(b) July 1 to June 30 with gigs in all public 
waters, and with traps in all public 
waters except Leonard's Creek, 
Abbott's Creek below Lake 
Thom-A-Lex dam, and the Abbott's 
Creek arm of High Rock Lake 
upstream from the NC 8 bridge; 

(29) Davie: 

(a) July 1 to June 30 with traps and gigs in 
all public waters; 

(b) July 1 to August 31 for taking only 
carp and suckers with seines in 
Dutchmans Creek from US 601 to 
Yadkin River and in Hunting Creek 
from SR 1338 to South Yadkin River; 

(30) Duplin: 

(a) December 1 to March 1 with gill nets 
in Baysden Pond and in the Northeast 
Cape Fear River, including old 
channels from a point one mile above 
SR 1700 (Serecta) Bridge downstream 
to the county line; 

(b) December 1 to June 5 with dip, bow, 
and gill nets and seines in the main run 
of the Northeast Cape Fear River 
downstream from a point one mile 
above Serecta Bridge; 

(31) Durham: 

(a) July 1 to August 31 with seines in 
Neuse River. 

(b) July 1 to June 30 with gigs in all public 
waters; 

(32) Edgecombe: 

(a) December 1 to March 15 with gill nets 
in Noble Mill Pond and Wiggins Lake; 

(b) December 1 to June 5 with dip and bow 
nets in all public waters; and with drift 
gill nets in Tar River below the bridge 
at Old Sparta to the Pitt County line; 

(33) Forsyth: July 1 to June 30 with traps 
and gigs in all public waters, except traps 
may not be used in Belews Creek 
Reservoir; 

(34) Franklin: 

(a) December 1 to March 1 with gill nets 
in Clifton Pond, Parrish Pond, Jackson 
Pond and Lake Royale; 

(b) July 1 to August 31 with seines in Tar 
River; 

(c) July 1 to June 30 with gigs in all public 
waters, except .Parrish. Laurel Mill. 
Jackson, Clifton, Moore's and Perry's 
Ponds, and in the Franklinton City 
ponds; 



7777 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



(35) Gaston: 

(a) July 1 to August 31 with seines in all 
running public waters; 

(b) July 1 to June 30 with gigs, traps and 
spear guns in all public waters; 

(36) Gates: December 1 to June 5 with dip 
and bow nets in all inland public waters, 
excluding public lakes, ponds, and other 
impounded waters; and with gill nets in 
all inland public waters, except Williams 
(Merchants Mill) Pond; 

(37) Graham: July 1 to June 30 with gigs in 
all public waters, except designated 
public mountain trout waters; 

(38) Granville: 

(a) July 1 to June 30 with gigs in all public 
waters, except Kerr Reservoir; 

(b) July 1 to August 31 with seines in the 
Neuse River and the Tar River below 
US 158 bridge; 

(c) July 1 to June 30 with dip and cast nets 
in Kerr Reservoir; 

(d) July 1 to June 30 with cast nets in all 
public waters; 

(39) Greene: December 1 to June 5 with dip, 
bow, and gill nets and reels in 
Contentnea Creek; 

(40) Guilford: 

(a) July 1 to August 31 with seines in Haw 
River, Deep River below Jamestown 
Dam, and Reedy Fork Creek below US 
29 bridge; 

(b) July 1 to June 30 with gigs in all public 
waters; 

(41) Halifax: 

(a) December 1 to March 1 with gill nets 
in White's Mill Pond; 

(b) December 1 to June 5 with dip and bow 
nets in Beech Swamp, Clarks Canal, 
Conoconnara Swamp, Fishing Creek 
below the Fishing Creek Mill Dam, 
Kehukee Swamp, Looking Glass Gut, 
Quankey Creek, and White's Mill Pond 
Run; 

(c) July 1 to June 30 with dip and cast nets 
in Gaston Reservoir and Roanoke 
Rapids Reservoir; 

(42) Harnett: 

(a) December 1 to March 1 with gill nets 
in all inland public waters; 

(b) January 1 to May 31 with gigs in Cape 
Fear River and tributaries; 

(c) December 1 to June 5 with dip and bow 
nets in Cape Fear River; 

(43) Haywood: July 1 to June 30 with gigs in 



(44) 



(45) 
(a) 

(b) 



(46) 



(47) 



(a) 
(b) 



(48) 



(49) 



(50) 
(a) 



(b) 



(51) 
(a) 



(b) 

(O 
(d) 



all public waters, except Lake Junaluska 

and designated public mountain trout 

waters ; 

Henderson: July 1 to June 30 with gigs 

in all public waters, except designated 

public mountain trout waters; 

Hertford: 
July 1 to June 30 with traps in 
Wiccacon Creek; 

December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters, except 
mill ponds; 

Hoke: December 1 to March 1 with gill 

nets in all inland public waters; 

Hyde: 
July 1 to June 30 with traps in all 
inland waters; 

December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in Pungo River and tributaries 
upstream from US 264 bridge, Scranton 
Creek, and Long Shoal River and 
tributaries; 

Iredell: July 1 to June 30 with traps and 

gigs in all public waters; and with spear 

guns in Lookout Shoals Reservoir and 

Lake Norman; 

Jackson: July 1 to June 30 with gigs in 

all public waters, except designated 

public mountain trout waters; 

Johnston: 
December 1 to March 1 with gill nets 
in Cattails Lake, Holts Lake, Holts 
Pond, and Wendell Lake; 
December 1 to June 5 with dip and bow 
nets in Black Creek, Little River, 
Middle Creek, Mill Creek, Neuse 
River, and Swift Creek; 

Jones: 
July 1 to June 30 with traps in the 
Trent River below US 17 bridge and 
White Oak River below US 1 7 bridge; 
December 1 to June 5 with dip, bow, 
and gill nets in all inland public waters, 
except the White Oak River and its 
tributaries; 

December 1 to June 5 with dip and bow 
nets in the main run of the White Oak 
River; 
March 1 to April 30 with gill nets in 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1778 



PROPOSED RULES 



the main run of the White Oak Riser; 

(52) Lee: 

(a) December 1 to April 15 with dip and 
gill nets (local law) in Cape Fear River 
and Deep River: and with gill nets in 
Morris Pond; 

(b) July 1 to August 31 with seines in Cape 
Fear River; 

(c) July 1 to June 30 with traps in Deep 
River, and with gigs in all public 
waters; 

(53) Lenoir: 

(a) July 1 to June 30 with traps in Neuse 
River below US 70 bridge at Kinston; 

(b) December 1 to June 5 with dip. bow, 
and gill nets in Neuse River and 
Contentnea Creek upstream from NC 
118 bridge at Grifton; and with seines 
in Neuse River; 

(54) Lincoln: 

(a) July 1 to August 31 with seines in all 
running public waters: 

(b) July 1 to June 30 with traps, gigs and 
spear guns in all public waters; 

(55) McDowell: 

(a) July 1 to August 3 
running public 
designated public 
waters: 

(b) July 1 to June 30 with traps, gigs, and 
spear guns in all public waters, except 
designated public mountain trout waters 
and Lake James; 

(56) Macon: July 1 to June 30 with gigs in 
all public waters, except designated 
public mountain trout waters; 

(57) Madison: July 1 to June 30 with gigs in 
all public waters, except designated 
public mountain trout waters; 

(58) Martin: December 1 to June 5 with dip 
and bow nets in all inland public waters, 
excluding public lakes, ponds, and other 
impounded waters; and with gill nets in 
all inland public waters; 

(59) Mecklenburg: 

(a) July 1 to August 31 with seines in all 
running public waters; 

(b) July 1 to June 30 with traps, gigs and 
spear guns in all public waters; 

(60) Montgomery: 

(a) July 1 to August 3 1 with seines in all 
running public waters, except that part 
of the Pee Dee River between the Lake 
Tillery dam at Hydro and the mouth of 
Rocky River; 



with seines in all 

waters, except 

mountain trout 



(b) July 1 to June 30 with traps and gigs in 
all public waters; 

(61) Moore: 

(a) December 1 to April 15 with gill nets 
in Deep River and all tributaries; 

(b) July 1 to August 31 with seines in all 
running public waters except in Deep 
River; 

(c) July 1 to June 30 with gigs in all public 
waters, except lakes located on the 
Sandhills Game Land; and with traps in 
Deep River and its tributaries; 

(62) Nash: 

(a) December 1 to March 1 with gill nets 
in Boddies Pond and Camp Charles 
Lake; 

(b) July 1 to June 30 with gigs in all public 
waters, except Tar River; 

(c) December 1 to June 5 with dip and bow 
nets in the Tar River below Harris" 
Landing and Fishing Creek below the 
Fishing Creek Mill Dam; 

New Hanover: December 1 to June 5 
with dip, bow, and gill nets in all inland 
public waters, except Sutton (Catfish) 
Lake; 

Northampton: 
July 1 to June 30 with gigs in all public 
waters, except Gaston and Roanoke 
Rapids Reservoirs and the Roanoke 
River above the US 301 bridge; 
December 1 to June 5 with dip and bow- 
nets in Occoneechee Creek, Old River 
Landing Gut; and with dip. bow and 
gill nets in Vaughans Creek below 
Watsons Mill; 

July 1 to June 30 with dip and cast nets 
in Gaston Reservoir and Roanoke 
Rapids Reservoir; 
Onslow: 
July 1 to June 30 with traps in White 
Oak River below US 17 bridge: 

(b) August 1 to March 31 with eel pots in 
the main run of New River between US 
17 bridge and the mouth of Hawkins 
Creek; 

(c) December 1 to March 1 with gill nets 
in Catherine Lake and Baysden Pond; 

(d) December 1 to June 5 with dip. bow. 
and gill nets in the main run of New 
River; and with dip and bow nets in the 
main run of the White Oak River; 

(e) March 1 to April 30 with gill nets in 
the main run of the White Oak River; 
and with dip. bow and gill nets in 



(63) 



(64) 

(a) 



(b) 



(c) 



(65) 

(a) 



1779 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



Grant's Creek; 

(66) Orange: 

(a) July 1 to August 31 with seines in Haw 
River, 

(b) July 1 to June 30 with gigs in all public 
waters; 

(67) Pamlico: December 1 to June 5 with 
dip, bow and gill nets in all inland public 
waters; 

(68) Pasquotank: 

(a) July 1 to June 30 with traps in all 
inland waters; 

(b) December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters; 

(69) Pender: 

(a) December 1 to June 5 with dip, bow, 
and gill nets in the Northeast Cape Fear 
River and Long Creek; with dip and 
bow nets in Black River; and with 
seines in the main run of Northeast 
Cape Fear River; 

(b) December 1 to May 1 with gill nets in 
Black River; and with dip. bow, and 
gill nets in Moore's Creek 
approximately one mile upstream to 
New Moon Fishing Camp; 

Perquimans: 
July 1 to June 30 with traps in all 
inland waters; 

December 1 to June 5 with dip and bow 
nets in all inland public waters, 
excluding public lakes, ponds, and 
other impounded waters; and with gill 
nets in all inland public waters; 

Person: 
July 1 to August 3 1 with seines in Hyco 
Creek and Mayo Creek; 
July 1 to June 30 with gigs in all public 
waters. 

Pitt: 
July 1 to June 30 with traps in Neuse 
River and in Tar River below the 
mouth of Hardee Creek east of 
Greenville; 

December 1 to June 5 with dip, bow 
and drift gill nets and with seines in Tar 
River; and with dip, bow and gill nets 
in all other inland public waters, except 
Grindle Creek, and Contentnea Creek 
between NC 1 1 8 bridge at Grifton and 
the Neuse River; 
(73) Polk: July 1 to June 30 with gigs in all 



(70) 
(a) 

(b) 



(71) 
(a) 

(b) 

(72) 
(a) 



(b) 



(74) 
(a) 

(b) 



(c) 

(75) 
(a) 



(b) 



(O 



(76) 



(77) 
(a) 

(b) 



(78) 
(a) 

(b) 

(79) 
(a) 



(b) 



(80) 
(a) 

(b) 



(O 



public waters, except designated public 

mountain trout waters; 

Randolph: 
December 1 to March 1 with gill nets 
in Deep River and Uwharrie River; 
July 1 to August 3 1 with seines in Deep 
River above the Coleridge Dam and 
Uwharrie River; 

July 1 to June 30 with gigs in all public 
waters; 

Richmond: 
July 1 to August 31 with seines in all 
running public waters, except Pee Dee 
River from Blewett Falls downstream to 
the Seaboard Coast Line Railroad 
trestle; 

July 1 to June 30 with traps and gigs in 
all public waters, except lakes located 
on the Sandhills Game Land; 
December 1 to June 5 with dip and bow 
nets in Pee Dee River below Blewett 
Falls Dam, and with gill nets in Pee 
Dee River below the mouth of 
Cartledge Creek; 

Robeson: December 1 to March 1 with 

gill nets and gigs in all inland public 

waters; 

Rockingham: 
July 1 to August 31 with seines in Dan 
River and Haw River; 
July 1 to June 30 with traps in Dan 
River; and with gigs in all public 
waters; 

Rowan: 
July 1 to August 31 with seines in all 
running public waters, 
July 1 to June 30 with traps and gigs in 
all public waters; 

Rutherford: 
July 1 to August 31 with seines in all 
running public waters, except 
designated public mountain trout 
waters; 

July 1 to June 30 with traps, gigs, and 
spear guns in all public waters, except 
designated public mountain trout 
waters ; 

Sampson: 
December 1 to March 1 with gill nets 
in all inland public waters; 
December 1 to May 1 with gill nets in 
Big Coharie Creek, Black River, and 
Six Runs Creek; 

May 2 to June 5 with gill nets of no 
less than five and one-half inch stretch 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1780 



PROPOSED RULES 



(81) 



(82) 
(a) 



measure in Big Coharie Creek, Black (c) 

River, and Six Runs Creek; 
(d) December 1 to June 5 with dip and bow 

nets in Big Coharie Creek. Black River. 

and Six Runs Creek; (d) 

Scotland: December 1 to March 1 with 
gill nets in all inland public waters, (e) 

except lakes located on the Sandhills 
Game Land; (90) 

Stanly: (a) 

July 1 to August 31 with seines in all 

running public waters, except that part 

of the Pee Dee River between the Lake (b) 

Tillery dam at Hydro and the mouth of 

Rocky River; 
(b) July 1 to June 30 with traps and gigs in 

all public waters: (91) 

(83) Stokes: July 1 to June 30 with traps and (a) 
gigs in all public waters, except designat- 
ed public mountain trout waters, and 

traps mav not be used in Belews Creek 

Reservoir; (b) 

(84) Surry: July 1 to June 30 with gigs in all 
public waters, except designated public 
mountain trout waters; and with traps in 

the main stem of Yadkin River; (c) 

(85) Swain: July 1 to June 30 with gigs in all 
public waters, except designated public 

mountain trout waters; (d) 

(86) Transylvania: July 1 to June 30 with 

gigs in all public waters, except designat- (92) 

ed public mountain trout waters; (a) 

(87) Tyrrell: 

(a) July 1 to June 30 with traps in (b) 
Scuppernong River, Alligator Creek, 

and the drainage canals of Lake Phelps 
except Bee Tree Canal within 50 yards 
of the Lake Phelps fish ladder; 

(b) December 1 to June 5 with dip and bow 
nets in all inland public waters, exclud- 
ing Lake Phelps. Bes Tree Canal within 
50 yards of the Lake Phelps fish ladder, 
public lakes, ponds and other impound- 
ed waters; and with gill nets in Alliga- 
tor Creek; 

(88) Union: 

(a) July 1 to August 31 with seines in all 

running public waters, (94) 

(b) July 1 to June 30 with traps and gigs in 
all public waters: 

(89) Vance: 

(a) December 1 to March 1 with gill nets 

in Southerlands Pond and Ellis Pond; (95) 

(b) July 1 to August 31 with seines in the (a) 
Tar River: 



(93) 

(a) 



ib. 



July 1 to June 30 with gigs in all public 
waters, except Rolands, Faulkners. 
Southerlands, and Weldon Ponds, City 
Lake, and Kerr Reservoir; 
July 1 to June 30 with dip and cast nets 
in Kerr Reservoir; 

July 1 to June 30 with cast nets in all 
public waters; 
Wake: 
July 1 to June 30 with gigs in all public 
waters, except Sunset, Benson. Wheel- 
er. Raleigh, and Johnson Lakes: 
December 1 to June 5 with dip and bow 
nets in the Neuse River below 
Milburnie Dam. and Swift Creek below 
Lake Benson Dam; 
Warren : 
July 1 to August 31 with seines in 
Fishing Cre«k. Shocco Creek, and 
Walker Creek; excluding Duck and 
Hammes Mill Ponds; 
July 1 to June 30 with gigs in all public 
waters, except Duck and Hammes Mill 
Ponds, Kerr Reservoir, and Gaston 
Reservoir; 

July 1 to June 30 with dip and cast nets 
in Kerr Reservoir and Gaston Reser- 
voir; 

July 1 to June 30 with cast nets in all 
public waters; 
Washington: 
July 1 to June 30 with traps in the 
drainage canals of Lake Phelps; 
December 1 to June 5 with dip and bow 
nets in all inland public waters, exclud- 
ing Lake Phelps, public lakes, ponds 
and other impoundments; and with gill 
nets in Conaby Creek: 
Wayne: 
December 1 to March 1 with gill nets 
in Sasser"s Mill Pond and Sleepy Creek 
Lake; 

December 1 to June 5 with dip and bow 
nets in Little River, Mill Creek, and 
Neuse River, except from Quaker Neck 
Dam downstream to SR 1008 (Tolar) 
bridge; 
Wilkes: July 1 to June 30 with traps in 
Yadkin River below W. Kerr Scott Res- 
ervoir; and with gigs and spear guns in 
all public waters, except designated 
public mountain trout waters; 
Wilson: 
July 1 to June 30 with gigs in 
Contentnea Creek (except Buckhorn 



1781 



8:18 



NORTH CAROLINA REGISTER 



December IS, 1993 



PROPOSED RULES 



Reservoir), including unnamed tributar- (96) Yadkin: July 1 to June 30 with gigs in 

ies between Flowers Mill and SR 1163 all public waters, and with traps in the 

(Deans) bridge; main stem of Yadkin River, 
(b) December 1 to June 5 with dip and bow 

nets in Contentnea Creek below US 301 Statutory Authority G.S. 113-134; 113-276; 



bridge and in Toisnot Swamp down- 113-292. 

stream from the Lake Toisnot Dam; 
(c) January 1 to March 1 with gill nets in 
Silver Lake; 

J\otice is hereby given in accordance with G.S. 150B-21.2 that the EHNR - Commission for Health Services 
intends to amend rule cited as 15A NCAC 13A .0016. 

1 he proposed effective date of this action is April 1 , 1994. 

1 he public hearing will be conducted at 7:00 p.m - 9:00 p. m. on January 1 1 , 1994 at the Greensboro Public 
Library, 201 N. Greene Street, Greensboro, NC 27401. 

Ixeason for Proposed Action: To adjust the scoring for inspection frequency and duration of commercial 
hazardous waste treatment facilities in North Carolina based upon two years of experience in inspecting these 
facilities. This change will be more equitable for convnercial facilities as it will better represent inspection 
needs. 

(comment Procedures: All persons interested in these matters are invited to attend the public hearing. 
Written comments may be presented at the public hearing or submitted to Patricia Arms, NC Department of 
Environment, Health, and Natural Resources, Division of Solid Waste Management, P.O. Box 27687, 
Raleigh, NC 2761 1-7687. All written comments must be received by January 20, 1994. Persons who wish 
to speak at the hearing should contact Patricia Arms at (919) 733-4996. Persons who call in advance of the 
hearing will be given priority on the speaker's list. Oral presentation lengths may be limited depending on 
the number of people that wish to speak at the public hearing. Only persons who have made comments at a 
public hearing or who have submitted written comments will be allowed to speak at the Commission meeting. 
Comments made at the Commission meeting must either clarify previous conmients or proposed changes from 
staff pursuant to comments made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTERESTED AND POTENTIALLY AFFECTED PERSONS, GROUPS, 
BUSINESSES, ASSOCIATIONS, INSTITUTIONS OR AGENCIES MAKE THEIR VIEWS AND OPINIONS 
KNOWN TO THE COMMISSION FOR HEALTH SERVICES THROUGH THE PUBLIC HEARING AND 
COMMENT PROCESS, WHETHER THEY SUPPORT OR OPPOSE ANY OR ALL PROVISIONS OF THE 
PROPOSED RULES. THE COMMISSION MAY MAKE CHANGES TO THE RULES AT THE COMMISSION 
MEETING IF THE CHANGES COMPLY WITH G.S. 150B-21 .2(f). 

CHAPTER 13 - SOLID WASTE MANAGEMENT 

SUBCHAPTER 13A - HAZARDOUS WASTE MANAGEMENT 

0016 SPECIAL PURPOSE COMMERCIAL HAZARDOUS WASTE FACILITY 

(a) The Department shall evaluate all commercial hazardous waste facilities to determine a score for each 
facility in accordance with Paragraph (c) of this Rule. 

(b) A commercial hazardous waste facility (other than an incinerator or a land disposal facility) with a 
volume of waste of 20,000 tons or less per year of hazardous waste and having a total score pursuant to 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1782 



PROPOSED RULES 



Paragraph (c) of this Rule of less than 30 33 is designated as a special purpose commercial hazardous waste 
facility. These facilities shall be classified as follows: 



Total Score 
1 - 44 13 

+3 14 - 30 22 
34-23-39 32 



Category 
1 

2 
3 



i 



(c) A score for each facility shall be determined by adding the total score for Subparagraphs (c)(1) - (c)(7) 
of this Rule and subtracting the score for Subparagraph (c)(8) of this Rule. 

( 1 ) A score shall be assigned for smallness of the facility by adding the applicable score for storage 
and the applicable score for treatment using Table 1 . 

TABLE 1 



Smallness of Facility 



Constructed Capacity 



Score 



Storage: 
(gallons) 



< 10,000 
10.000-100,000 
> 100.000 



1 

2 
3 



Treatment: 
(gallons/ 
per day) 



< 10,000 
10,000-100,000 
> 100,000 



I 

2 
3 



(2) A score shall be assigned for type of treatment permitted by adding the score for each type of 
treatment being performed by the facility using Table 2. 

TABLE 2 



Type of Treatment Being Performed 



Score 



Storage Only 
Solvent Recovery 
Metal Recovery 
Energy Recovery 
Fuel Blending 
Aqueous Treatment 
Stabilization 
Incineration 
Residuals Management 
Other Treatment 



I 

2 
2 
2 
2 
3 
2 
5 
5 
2 



(3) A score shall be assigned for the nature of hazardous waste by adding the score for acute waste. 
if acute waste totals more than 1 .000 pounds, and the score for each other type of hazardous waste 
that constitutes ten percent or more of the total hazardous waste handled by the facility, using Table 
3. However, if the facility is permitted for storage only and no treatment is performed, the score 
for nature of hazardous waste shall be reduced by one-half for each hazardous waste stream stored 
only. 



TABLE 3 



Nature of Hazardous Waste 
(from Annual Report) 
Corrosive 



Score 
1 



♦ 



1783 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



Ignitable 2 

Reactive 2 

Toxicity Characteristic 2 

Listed Toxic 2 

Acute 3 

(4) A score shall be assigned for volume of hazardous waste by using the applicable score in Table 4. 

TABLE 4 

Volume of Waste (Tons from Annual Report) Score 

< 2,000 1 

2,000-10,000 2 

10,000-20,000 3 

(5) A score shall be assigned for uniformity, similarity and lack of diversity of waste streams by using 
the applicable score in Table 5. 

TABLE 5 

Uniformity, Similarity, Lack of Diversity of 
Waste Streams (EPA Waste Numbers) From 

Annual Report Score 

<5 1 

5-75 2 

>75 3 

(6) A score shall be assigned for predictability and treatability of site specific waste streams by using 
the applicable score in Table 6. 

TABLE 6 

Predictability and Treatability of Waste Streams Score 

Simple Waste Streams and Treatment 1 

Complex Waste Streams and Treatment 2 
(Incompatibles, highly toxic, or 
multicoded waste streams) 

(7) A score shall be assigned for compliance history for the past two years by using the highest 
applicable score in Table 7. 

TABLE 7 

Compliance History for Past Two Years Score 

Class II Violations 1 

Class I Violations 2 

Penalties 3 

Injunctions 5 

(8) A score shall be assigned for reclamation by using the applicable score in Table 8. 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1784 



PROPOSED RULES 



TABLE 8 



Reclamation (Credit Given) 



Score 



Pretreatment for Off-site Reclamation 
On-site Reclamation 



I 
2 



(d) The information referred to in Paragraph (c) of this Rule shall be determined based on the facility's 
permit, the previous year's annual report, and compliance history. If no annual report was submitted, 
quarterly projections of waste volume shall be submitted to the Department by the facility. Each facility may 
be re-evaluated at any time new information is received by the Department concerning the factors in Paragraph 
(c) of this Rule. 

(e) The frequency of inspections at special purpose commercial hazardous waste facilities shall be 
determined by the facility's classification as follows: 



Category 



2 
3 



Statutory Authority G.S. 130A-295.02(j). 

fSotice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 
16A .0306. 

1 he proposed effective date of this action is April 
I. 1994. 

1 he public hearing will be conducted at 1:30 
p.m. on January 5, 1994 at the Highway Building, 
First Floor Auditorium, 1 South Wilmington Street, 
Raleigh. NC. 

Reason for Proposed Action: To eliminate 
Medicare co-payment rules from the Kidney Pro- 
gram Rules. At present the Kidney Program 
reimburses dialysis centers the approximately 15% 
that Medicare does not reimburse for home dialy- 
sis. It is felt that this 50-60 thousand a year could 
be more appropriately used in other areas of 
ESRD care. 

Ksomment Procedures: All persons interested in 
these matters are invited to attend the public 
hearing. Written comments may be presented at 
the public hearing or submitted to John P. 
Barkley, Department of Justice, P.O. Box 629, 



Minimum Inspections 

2 per month 
4 per month 
6 per month 



Raleigh, NC 27602-0629. All written comments 
must be received by January 20. 1994. Persons 
who wish to speak at the hearing should contact 
John P. Barkley at (919)733-4618. Persons who 
call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation 
lengths may be limited depending on the number of 
people that wish to speak at the public hearing. 
Only persons who have made comments at a public 
hearing or who have submitted written comments 
will be allowed to speak at the Commission 
meeting. Comtnents made at the Commission 
meeting must either clarify previous comments or 
proposed changes from staff pursuant to comments 
made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL 
INTERESTED AND POTENTIALLY AFFECTED 
PERSONS, GROUPS, BUSINESSES, 
ASSOCIATIONS, INSTITUTIONS OR AGENCIES 
MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND 
COMMENT PROCESS, WHETHER THEY 
SUPPORT OR OPPOSE ANY OR ALL 
PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE 
RULES AT THE COMMISSION MEETING IF THE 
CHANGES COMPLY WITH G.S. 150B-21.2(f). 

CHAPTER 16 - ADULT 
HEALTH 



1785 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



> 



SUBCHAPTER 16A - CHRONIC 
DISEASE 

SECTION .0300 - CHRONIC RENAL 
DISEASE CONTROL PROGRAM 

.0306 COVERED SERVICES 

The kidney program shall provide financial 
assistance to eligible patients for the following 
covered services: 

(1) Center Dialysis. 

(a) Chronic maintenance dialysis. 

(i) For patients who have no other cover- 
age for this service, reimbursement is 
limited to one hundred dollars 
($100.00), or the Medicaid rate, 
whichever is lower, per treatment, not 
to exceed 149 treatments per year, 
(ii) For patients who have other coverage 
for this service, no reimbursement 
will be provided. 

(b) Home training dialysis. 

(i) For patients who have no other cover- 
age for this service, reimbursement is 
limited to one hundred twenty dollars 
($120.00), or the Medicaid rate, 
whichever is lower, per treatment, not 
to exceed 5 training treatment ses- 
sions, 
(ii) For eligible patients with no other 
third party coverage beyond Medi- 
care, the program will reimburse the 
facilities fifteen percent of their Medi- 
care home training rate, not to exceed 
5 training treatment sessions, 
(iii) For eligible patients who are not 
covered by Medicare and do have 
other coverage for this service, reim- 
bursement is limited to the extent that 
full payment (including all third-party 
payments) does not exceed one hun- 
dred twenty dollars ($120.00), or the 
Medicaid rate, whichever is lower, 
per treatment, not to exceed 5 training 
sessions. 

(2) Home Dialysis^ 

{ft) Medicare Method I home dialysisv is 
for 
(i) — Fef patients who have no other cover- 
age for this service, reimbursement is 
limited to one hundred dollars 
($100.00), or the Medicaid rate, 
whichever is lower, per treatment, not 
to exceed 149 treatments per year. 
(ii) — For patients with no other party cov 



eragc beyond Medicare, the program 
w+H — reimbur s e the facilities fifteen 
percent of their Medicare rate per 
treatment, not to e xceed — 1 4 9 treat 
menta per year. 
fiti) — For- — eligible — paticnta — who — afe — net 
covered by Medicare an do have other 
coverage for this s ervice, reimburse 
ment is limited to the extent that full 
payment — (including — aH — third party 
paymenta) docs not exceed one hun 
drcd dollar s ($100.00), or the Medic 
aid — fate; — whichever — is — lower, — pef 
treatment, — not to exceed — 1 4 9 treat 
menta per year. 

{fe) Medicare Method II home dialysis. 

(t) — Reimbursement to vendors for sup 
plie s and equipment shall be fifteen 
percent — ef- — the — Medicare approved 
claims not to exceed two thousand 
seven — hundred — and — fifty — dollars 
($2,750) during the fiscal year. 
{ii) — Reimbur s ement to vendors is limited 
to payment for s ervices provided to 
Medicare eligible — patients . 

Non Medicare — patients mu s t — be 

treated — by — their — respective — dialysis 
facilities as though under Method I, 
or they will be responsible for their 
own financial arrangements. 

(3) Inpatient Hospital Dialysis. 

(a) For patients who have no other 
coverage for this service, 
reimbursement is limited to one 
hundred dollars ($100.00), or the 
Medicaid rate, whichever is lower, per 
treatment for those patients hospitalized 
due to medical complications, pre- or 
post-transplant dialysis, or any other 
medical reason. 

(b) For patients who have other coverage 
for this service, no reimbursement will 
be provided. 

(4) Pharmaceuticals and Incidental Supplies. 

(a) Payments shall be made to patient 
selected pharmacies for legend or 
non-legend drugs and incidental 
supplies related to the ESRD diagnosis 
purchased by eligible patients upon 
receipt by the kidney program of claims 
submitted on DEHNR Form 3058, 
Pharmacy Claim. Reimbursement for 
legend drugs shall not exceed the 
Medicaid rate for those drugs. 

(b) Payments made to participating 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1786 



PROPOSED RULES 



pharmacies for pharmaceuticals and 
incidental supplies shall not exceed 
three hundred dollars ($300.00) per 
eligible patient per fiscal year. 

Statutory- Authority G S. 130A-220. 

l\otice is herein' given in accordance with G.S. 
150B-21. 2 that the EHNR - Commission for Health 
Services intends to adopt rules cited as 15A NCAC 
16A .1301 - .1305. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will he conducted at 1:30 
p.m. on January 5, 1994 at the Highway Building, 
First Floor Auditorium. 1 South Wilmington Street, 
Raleigh, NC. 

IXeason for Proposed Action: These rules will 
enable the AIDS Care Branch to administer a 
Medicaid-reimbursed HIV Case Management 
Program. 

(comment Procedures: All persons interested in 
these matters are invited to attend the public 
hearing. Written comments may be presented at 
the public hearing or submitted to John P. 
Barkhy. Department of Justice, P. O. Box 629, 
Raleigh, NC 27602-0629. All written comments 
must be received by January 20, 1994. Persons 
who wish to speak at the hearing should contact 
John P. Barkley at (919)733-4618. Persons who 
call in advance of the hearing will be given priori- 
ty on the speaker's list. Oral presentation lengths 
may be limited depending on the number of people 
that wish to speak at the public hearing. Only- 
persons who have made conmients at a public- 
hearing or who have submitted written comments 
will be allowed to speak at the Commission meet- 
ing. Conunents made at the Conunission meeting 
must either clarify prexious conunents or proposed 
changes from staff pursuant to comments made 
during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL INTEREST- 
ED AND POTENTIALLY AFFECTED PERSONS, 
GROUPS. BUSINESSES, ASSOCIATIONS, INSTI- 
TUTIONS OR AGENCIES MAKE THEIR VIEWS 



AND OPINIONS KNOWN TO THE COMMISSION 
FOR HEALTH SERVICES THROUGH THE PUB- 
LIC HEARING AND COMMENT PROCESS, 
WHETHER THEY SUPPORT OR OPPOSE ANY 
OR ALL PROVISIONS OF THE PROPOSED 
RULES. THE COMMISSION MAY MAKE 

CHANGES TO THE RULES AT THE 
COMMISSION MEETING IF THE CHANGES 
COMPLY WITH G.S. 150B-21.2(f). 

CHAPTER 16 - ADULT 
HEALTH 

SUBCHAPTER 16A - CHRONIC 
DISEASE 

SECTION .1300 - HIV CASE 
MANAGEMENT PROGRAM 

.1301 PROGRAM ADMINISTRATION 

The HIV Case Management Program is adminis- 
tered by the AIDS Care Branch, Health Care 
Section. Division of Adult Health Promotion. 
Department of Environment. Health, and Natural 
Resources, P.O. Box 27687, Raleigh, NC 27611- 
7687. 

Statutory Authority G.S. 130A-223. 

.1302 QUALIFIED CASE MANAGERS 

(a) Case managers providing HIV case manage- 
ment under this Program must meet one of the 
following qualifications: 

( 1 ) Master level degree in a human service 
area such as Social Work. Sociology, 
Child Development, Maternal and Child 
Health, Counseling, Psychology, or 
Nursing: 

(2) Bachelor level degree in a human ser- 
vice area that includes the aforemen- 
tioned disciplines and two years experi- 
ence working in human services; or 

(3) Licensed Registered Nurse, Nurse 
Practitioner, Physician Assistant, or 
Certified Substance Abuse Counselor 
and two years experience working in 
human services. 

(b) Persons who meet the following require- 



; also serve as case managers in this 

Have a high school diploma: 
Have two years experience providing 
case management services to clients 
with HIV disease; 
(3) Education and experience providing 



ments ma' 
program: 

LU 

ill 



1787 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



case management services have been 
verified by the AIDS Care Branch; and 
(4) All their charts are reviewed and signed 
by a qualified supervisor. 

(c) A person qualified as a case manager under 
Paragraph (b) of this Rule may serve as a case 
manager for five years from the date of employ- 
ment as a case manager in an agency certified to 
provide HIV case management or, if the agency js 
not certified to provide HIV case management at 
the time the person is employed as a case manag- 
er, from the date of the agency's certification. A 
person must meet the requirements of case manag- 
ers as set forth in Paragraph (a) of this Rule to 
continue providing HIV case management services 
after this five year period. 

(d) Case managers in the HIV Case Manage- 
ment Program shall attend, at least annually, 
training approved by the AIDS Care Branch. 
Training must be in relevant areas such as case 
management, needs assessment, community re- 
source development, and substance abuse issues. 

Statutory Authority G.S. 130A-223. 

.1303 QUALIFIED SUPERVISORS OF 
fflV CASE MANAGEMENT 
SERVICES 

A qualified supervisor of HIV case management 
services under this program must meet one of the 
following qualifications: 

(1) Has a Master level degree |n a human 
service area such as Social Work, Sociol- 
ogy, Child Development, Maternal and 
Child Health, Counseling, Psychology, or 
Nursing and one year experience in case 
management; or 

(2) Has a Bachelor level degree in a human 
service area that includes the aforemen- 
tioned disciplines and two years experi- 
ence in case management. 

Statutory Authority G.S. 130A-223. 

.1304 CERTIFICATION OF PROVIDERS 

(a) The AIDS Care Branch will approve or deny 
applications for certification as a provider of HIV 
case management. 

(b) The Division of Medical Assistance will 
enroll certified providers for reimbursement for 
HIV case management services provided to clients 
who meet Medicaid eligibility criteria set forth jn 
10 NCAC 26B .0124. 

(c) An agency interested in certification must 
submit an application to the AIDS Care Branch 



that includes provider's specific plans for at least 
the following: 

(1) Comprehensive assessment of health 
care, psychosocial, environmental and 
financial needs; 

(2) Development of individual care plans 
which include goals, services to be 
provided, and progress notes; 

(3) Assuring that appropriate health care, 
social work, and other consultations, as 
dictated by client needs, are obtained in 
developing the care plan; 

(4) Coordination of client services with 
other agencies in the community which 
provide services to persons with HIV 
disease; and 

(5) Quality assurance, including the moni- 
toring and evaluating of case manage- 
ment records. 

Applications for certification may be ob_; 
by writing to the AIDS Care Branch, 



Id} 
tained 

Division of Adult Health Promotion, Department 
of Environment, Health, and Natural Resources, 
P.O. Box 27687, Raleigh, NC 27611-7687. 

(e) To be certified, a provider must: 

(1) Ensure the provision of case manage- 
ment services by qualified case manag- 
ers as set out in Rule .1302 of this 
Section; 

(2) Ensure clinical supervision of HIV case 
management services by a qualified 
supervisor as set out in Rule .1303 of 
this Section; and 

(3) Be approved by the AIDS Care Branch 
as having met all requirements listed in 
Paragraph (c) of this Rule. 

Statutory Authority G.S. 130A-223. 

.1305 MONITORING AND EVALUATION 

A provider agency's financial and statistical 
records, patient records, and any other pertinent 
information may be reviewed by the AIDS Care 
Branch as part of the overall monitoring and 
evaluation effort. 

Statutory Authority G.S. 130A-223. 

lVotice is hereby given in accordance with G.S. 
150B-21.2that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 
18A .1205. 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1788 



PROPOSED RULES 



1 he proposed effective date of this action is April 
1, 1994. 

1 he public hearing will he conducted at 1:30 
p.m. on January 5, 1994 at the Highway Building, 
First Floor Auditorium. 1 South Wilmington Street , 
Raleigh. NC. 

Jxeason for Proposed Action: To reduce and /or 
eliminate duplication of sampling of Grade A 
pasteurized milk products. 

Lsomment Procedures: All persons interested in 
these matters are invited to attend the public- 
hearing. Written comments may be presented at 
the public hearing or submitted to John P. 
Barkley. Department of Justice, P. O. Box 629, 
Raleigh, NC 27602-0629. All written comments 
must be received by January 20, 1994. Persons 
who wish to speak at the hearing should contact 
John P. Barkley at (919)733-4618. Persons who 
call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation 
lengths may be limited depending on the number of 
people that wish to speak at the public hearing. 
Only persons who have made continents at a public 
hearing or who have submitted written comments 
will be allowed to speak at the Commission 
meeting. Comments made at the Commission 
meeting must either clarify previous comtnents or 
proposed changes from staff pursuant to comments 
made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL 
INTERESTED AND POTENTIALLY AFFECTED 
PERSONS, GROUPS, BUSINESSES, 
ASSOCIATIONS, INSTITUTIONS OR AGENCIES 
MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND 
COMMENT PROCESS, WHETHER THEY 
SUPPORT OR OPPOSE ANY OR ALL 
PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE 
RULES AT THE COMMISSION MEETING IF THE 
CHANGES COMPLY WITH G.S. 150B-21 .2(f). 

CHAPTER 18 - ENVIRONMENTAL 
HEALTH 

SUBCHAPTER 18A - SANITATION 



SECTION .1200 - GRADE A 
MILK SANITATION 

.1205 PROCEDURE FOR ISSUANCE 
OF PERMIT: SAMPLING: 
EMBARGO 

(a) Milk plants shall be issued a North Carolina 
permit by the local health department in the county 
in which the plant is located Division . This permit 
shall cover the milk plant and plant-owned distrib- 
utors. The local health department Division that 
issued the permit shall assure that a minimum of 
four samples of raw milk for pasteurization shall 
be taken and recorded from each milk plant after 
receipt of the milk by the plant and prior to pas- 
teurization every consecutive six months, and shall 
sample Grade "A" pasteurized milk and milk 
products a minimum of four times every consecu- 
tive six months. Samples shall be collected from 
the milk plant or plant-owned distributors. 

(b) Independent milk distributors, out-of-state 
milk plants and milk distributors, and milk haulers 
shall be issued a North Carolina permit by the 
local health department in the county in which the 
distributor i s located. — The local health departm e nt 
that i ss ued the permit shall sample Grade "A" 
pa s teurized milk and milk products from a distrib 
utor a minimum of four time s every consecutive 
s ix month s Division . 

(c) A local health department without a milk 
plant or independent milk distributor located in its 
jurisdiction is authorized, but is not required to 
sample Grade "A" pasteurized milk or milk prod- 
ucts. The local health department shall maintain a 
record of temperature and cleanliness in retail 
stores, grocery stores, milk delivery trucks, and 
similar establishments to determine compliance 
with Sections 2, 4, 9, and 10 of the Milk Ordi- 
nance. 

(d) Out of s tate milk plants and milk distributor s 
are issu e d a North Carolina permit by the local 
health department designated by the Divi s ion. — A 
local health department is designated only after the 
out of state milk plant or milk distributor furni s he s 
the Division with information concerning where 
milk — is — s-e4d — (citie s , — distributors, — outlets, — retail 
stores, or other points of sale), frequency, approxi 
mate time of deliverie s , and approximate volume 
to be di s tributed in each county of thi s s tate. — The 
local health department that issued the permit shall 
sample Grade "A" milk and milk products from 
out of s tate milk plants and milk distributors a 
minimum — of four time s — every — con s ecutive — s+* 
months. 

(d)fe) Dairy farms are issued a North Carolina 



1789 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



permit by the agency, cither th e Division^ or a 
local health department, which has re s ponsibility 
for maintaining records — for the milk — plant or 
specified bulk tank unit to which the dairy farm 
has been assigned. — Permits issued to new dairy 
farms arc issued by the agency, cither the Division 
or a local health department, which is responsible 
for inspecting the dairy farm. Dairy farms trans- 
ferring from one milk plant or bulk tank unit to 
another are not issued a new permit, but the dairy 
farm records are transferred to the agency, cither 
the appropriate Division representative or a local 
health department, which is responsible for main- 
taining the records for the new milk plant or bulk 
tank unit. The agency, either the Division e^-a 
local health department, responsible for maintain 
ing records for the milk plant or specified bulk 
tank unit to which a dairy farm has been as s igned 
shall assure that a minimum of four samples of 
raw milk for pasteurization are recorded every 
consecutive six months. 

(f) — Milk haulers are issued a North Carolina 
permit by the agency, cither the Division or a local 
health department, to which the bulk tank unit is 
assigned. — If there is no bulk tonic unit involved, 
the permit is issued by the local health department 
in the county which receives the milk. 

•(g) — The local health department shall provide 
information upon reque s t a s to whether the local 
health department or the Division of Environmcn 
tal — Health — issues the permits for a particular 
facility or location. 

Statutory Authority G.S. 130A-275. 

l\otice is hereby given in accordance with G.S. 
1 50B-21 .2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 
18A .2610. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 1:30 
p.m. on January 5, 1994 at the Highway Building, 
First Floor Auditorium, 1 South Wilmington Street, 
Raleigh, NC. 



ixeason for Proposed Action: 
Statutory changes. 



To comply with 



Lsomment Procedures: All persons interested in 
these matters are invited to attend the public 
hearing. Written comments may be presented at 
the public hearing or submitted to John P. 
Barkley, Department of Justice, P. O. Box 629, 
Raleigh, NC 27602-0629. All written comments 
must be received by January 20, 1994. Persons 
who wish to speak at the hearing should contact 
John P. Barkley at (919)733-4618. Persons who 
call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation 
lengths may be limited depending on the number of 
people that wish to speak at the public hearing. 
Only persons who have made comments at a public 
hearing or who have submitted written comments 
will be allowed to speak at the Commission 
meeting. Comments made at the Commission 
meeting must either clarify previous comments or 
proposed changes from staff pursuant to convnents 
made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL 
INTERESTED AND POTENTIALLY AFFECTED 
PERSONS, GROUPS, BUSINESSES, 
ASSOCIATIONS, INSTITUTIONS OR AGENCIES 
MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND 
COMMENT PROCESS, WHETHER THEY 
SUPPORT OR OPPOSE ANY OR ALL 
PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE 
RULES AT THE COMMISSION MEETING IF THE 
CHANGES COMPLY WITH G.S. 150B-21.2(f). 

CHAPTER 18 - ENVIRONMENTAL 
HEALTH 

SUBCHAPTER 18A - SANITATION 

SECTION .2600 - SANITATION 

OF RESTAURANTS AND 

OTHER FOODHANDLING 

ESTABLISHMENTS 

.2610 STORAGE: HANDLING: 
AND DISPLAY OF FOOD 

(a) All unwrapped or unenclosed food and drink 
on display shall be protected in such manner that 
the direct line from the customer's mouth to the 
food shall be intercepted by glass or similar shields 
and shall be otherwise protected from public 
handling or other contamination, except that 
approved hand openings may be permitted on 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1790 



PROPOSED RULES 



counter fronts. This requires standard counter 
protector installations for all cafeteria counters, 
salad bars, and similar type service to prevent 
contamination by customers' coughing and sneez- 
ing. 

(b) Customer self-service is permitted only 
under the following conditions: 

(1) Buffet-style Service. This style of 
service is not acceptable unless protec- 
tive shields, equivalent to cafeteria 
counter protectors, are provided to 
intercept contamination; however, 
protective shields are not required for 
buffet style service which is provided 
for a club, organization or private 
individual as a planned event and from 
which the public is excluded. When 
food is served in this manner, the fol- 
lowing requirements shall be met: 

(A) Potentially hazardous foods shall be 
replaced at least hourly; 

(B) Food containers shall be arranged 
conveniently so customers' clothing 
does not come in contact with food; 

(C) Long-handled serving spoons, tongs, 
or other utensils shall be provided and 
used; 

(D) At the conclusion of the event, food 
that has not been consumed, shall be 
discarded. 

(2) Family-style Service. In establishments 
featuring this style of service, patrons 
elect to participate in the family 
dining-table type of service. Ordinary 
serving dishes and utensils are 
acceptable. 

(c) Foods, except raw vegetables which are to 
be cooked, shall be kept under cover when not in 
the process of preparation and serving. Meat and 
other potentially hazardous foods shall not be 
stored on the floor, or in direct contact with 
shelves and racks of cold storage boxes, or 
permitted to come in contact with dirty clothes, 
newspapers, pasteboard, previously-used paper, or 
other contaminated surfaces. If open dishes and 
pans containing food are stacked, food shall be 
protected with wax paper or foil. Food 
transported to a restaurant shall not be accepted 
unless properly wrapped, covered, or otherwise 
protected. Food and drink shall not be served to 
the general public in the kitchen. In the case of 
"drive-in" restaurants, all food shall be covered or 
wrapped before delivery to patrons' vehicles, to 
exclude vermin or insects, dust, and other 
contamination. 



(d) Containers for onions, slaw, mustard, and 
other condiments shall have covers and be kept 
covered when not in use. Sugar shall be dispensed 
with either pour-type dispensers or individual 
packages. Waiters and waitresses shall avoid 
unnecessary handling of food in the process of 
serving. 

(e) The establishment shall be kept free of flies, 
rodents, roaches, ants, and other vermin. Animals 
and fowl shall not be permitted in a restaurant, 
provided that seeing eye dogs accompanying blind 
persons and service dogs accompanying 
handicapped persons shall be exempted. All 
supplementary means necessary for the elimination 
of flies, such as the installation of fly-repellant 
fans, and the routine use of approved insecticides 
shall be employed. 

(f) Dustless methods of floor cleaning shall be 
used and all except emergency floor cleaning shall 
be done during those periods when the least 
amount of food and drink is exposed, such as after 
closing, or between meals. 

(g) The offering of unwrapped food samples 
which were prepared by, or served by, the 
establishment on its premises, shall be maintained 
within sight of an employee or agent for the 
purposes of observing customer use. 

Statutory Authority G.S. 130A-248. 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the EHNR - Commission for Health 
Services intends to amend rule cited as 15A NCAC 
21 H .0314. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will he conducted at 1:30 
p.m. on January 5, 1994 at the Highway Building. 
First Floor Auditorium, 1 South Wilmington Street, 
Raleigh, NC. 

MXeason for Proposed Action: Since 1987, all 
non-white newborns in North Carolina have been 
offered screening for sickle cell disease. Wliite 
infants were not offered this service because of 
their very low risk for the disease, and because 
funds were not available at the time to screen all 
infants. 



1791 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



Tfie National Institutes of Health recently published 
a consensus conference report recommending 
universal newborn screening for sickle cell disease 
as the standard care. The report notes the difficul- 
ty in identifying "non-white infants", the medical 
liability in "missing " an infant when such identifi- 
cation is inaccurate, and the efficiencies achieved 
(both in hospitals and laboratories) when univer- 
sal. 

Based on the above rationale, and having identi- 
fied the required funds, the Division of Maternal 
and Child Health, in collaboration with the N.C. 
Council on Sickle Cell Syndrome, proposes to 
amend to require that all newborns be offered 
screening for sickle cell disease. 

i^omment Procedures: All persons interested in 
these matters are invited to attend the public 
hearing. Written comments may be presented at 
the public hearing or submitted to John P. 
Barkley, Department of Justice, P. O. Box 629, 
Raleigh, NC 27602-0629. All written comtnents 
must be received by January 20, 1994. Persons 
who wish to speak at the hearing should contact 
John P. Barkley at (919)733-4618. Persons who 
call in advance of the hearing will be given 
priority on the speaker's list. Oral presentation 
lengths may be limited depending on the number of 
people that wish to speak at the public hearing. 
Only persons who have made comments at a public 
hearing or who have submitted written comments 
will be allowed to speak at the Commission 
meeting. Comments made at the Commission 
meeting must either clarify previous comments or 
proposed changes from staff pursuant to comments 
made during the public hearing process. 

IT IS VERY IMPORTANT THAT ALL 
INTERESTED AND POTENTIALLY AFFECTED 
PERSONS, GROUPS, BUSINESSES, 
ASSOCIATIONS, INSTITUTIONS OR AGENCIES 
MAKE THEIR VIEWS AND OPINIONS KNOWN 
TO THE COMMISSION FOR HEALTH SERVICES 
THROUGH THE PUBLIC HEARING AND 
COMMENT PROCESS, WHETHER THEY 
SUPPORT OR OPPOSE ANY OR ALL 
PROVISIONS OF THE PROPOSED RULES. THE 
COMMISSION MAY MAKE CHANGES TO THE 
RULES AT THE COMMISSION MEETING IF THE 
CHANGES COMPLY WITH G.S. 150B-21.2(f). 

CHAPTER 21 - HEALTH: 
PERSONAL HEALTH 



SUBCHAPTER 21H - SICKLE CELL 

SYNDROME: GENETIC COUNSELING: 

CHILDREN AND YOUTH SECTION 

SECTION .0300 - GENETIC HEALTH CARE 

.0314 SUBMISSION OF BLOOD 

SPECIMENS FOR SCREENING 
OF NEWBORNS 

(a) The attending physician shall have drawn a 
blood specimen for each infant born in North 
Carolina and shall submit such specimens to the 
North Carolina State Laboratory for Public Health 
for testing for the following metabolic and other 
hereditary and congenital disorders: 

(1) phenylketonuria (PKU), 

(2) galactosemia, 

(3) congenital primary hypothyroidism, 

(4) congenital adrenal hyperplasia 
(21 -hydroxylase deficiency), 

(5) sickle cell disease (non white infanta 
only) . 

(b) Notwithstanding Paragraph (a) of this Rule, 
parents or guardians may object to screening in 
accordance with G.S. 130 A- 125(b). 

Statutory Authority G. S. 130A-125. 

TITLE 18 - DEPARTMENT 
SECRETARY OF STATE 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the NC Department of the Secre- 
tary of State intends to adopt rules cited as 18 
NCAC 8 .1201 - .1213. 

1 he proposed effective date of this action is 
March 1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 10, 1994 at the Archdale Build- 
ing, 5th Floor Conference Room, 512 N. Salisbury 
Street, Raleigh, North Carolina 27611. 

IXeason for Proposed Action: To implement a 
certification program for local government proper- 
ty mappers pursuant to G.S. 147-54.4. 

Lsotnment Procedures: Interested persons may 
present statements either orally or in writing at the 
public hearing, or in writing prior to January 18, 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1792 



PROPOSED RULES 



1994 by mail addressed to Phil Stanley, Director, 
Land Records Management Division , N. C. Depart- 
ment of the Secretary of State, P.O. Box 27687. 
Raleigh, N.C. 27611. For copies of any informa- 
tion related to the hearing, call (919) 733-7006 or 
write to the aforementioned address. 

CHAPTER 8 - LAND RECORDS 
MANAGEMENT DIVISION 

SECTION .1200 - MINIMUM 

CERTIFICATION REQUIREMENTS FOR 

LOCAL GOVERNMENT PROPERTY 

MAPPERS 

.1201 INTRODUCTION AND PURPOSE 

(a) The Department of the Secretary of State 
(hereinafter referred to as Department), has devel- 
oped minimum certification requirements for 
property mappers in North Carolina. These 
requirements are set forth in the rules of this 
Section. The purposes of these requirements are 
as follows: 

(1) to insure that property mappers em- 
ployed by local governments have every 
opportunity to expand their professional 
knowledge of new and state-of-the-art 
mapping technologies; 

(2) to insure that property mappers have 
continual access to recognized courses 
of instruction in the principles of prop- 
erty mapping, and are cognizant of state 
laws and established standards pertain- 
ing to listing, appraisal, and assessment 
of real property for taxation purposes; 
and 

(3) to insure that the State's investments 
through grant awards are used wisely 
and expertly by the local government 
personnel who are responsible for 
creating and maintaining large scale 
cadastral maps which may be financed. 
in part, by these funds. 

(b) Copies of the requirements contained in this 
Section, as well as related laws, may be viewed or 
obtained by contacting the Land Records Manage- 
ment Division. Department of the Secretary of 
State. P.O. Box 27687. Raleigh. NC 27611. (919) 
733-7006. The cost of copies will be twenty cents 
($.20) per page to cover re-production and post- 

Statutory Authority G.S. 147-37; 1 47-54. 3(f); 
147-54. 4(e). 



.1202 DEFINITIONS 

In addition to the terms 



defined in G.S. 



147-54. 4(a)(1). the following definitions shall 
apply to the rules in this Section: 
(1 ) "AM/FM" means Automated Mapping 
and Facilities Management. 



ill 
i3j 

14} 

(5} 
16} 

ill 
18} 



"ASPRS" means the American Society 
for Photogrammetry and Remote Sensing. 
"Division" means the Land Records 
Management Division of the N.C. 
Department of the Secretary of State. 
"GIS/LIS" means Geographic Information 
Systems/Land Information Systems. 
"IAAO" means the International Associa- 
tion of Assessing Officers. 
"IOG" means the N.C. Institute of Gov- 
ernment. 
"NCPMA" means the North Carolina 



Property Mappers Association. 
"L'RJSA" means the Urban and Regional 
Information Systems Association. 



Statutory Authority G.S. 147-54. 4(a)(1); 
147-54. 4(e). 

.1203 ELIGIBILITY 

Persons who are eligible to apply for certifica- 
tions are defined in G.S. 147-54. 4(a) and (b). 

Statutory Authority G. S. 147-54. 4(a); 147-54. 4(b); 
l47-54.4(e). 

.1204 APPLICATION PROCEDURES FOR 
CERTIFICATION 

Eligible persons shall apply for certification by 
completing a Certification Application made 
available by the Department. The applicant shall 
include all documentation and fees as required in 
Rules .1206 and .1207 of this Section prior to 
being considered for certification. 

Statutory Authority G.S. 147-54. 4(d); 147-54. 4(e). 

.1205 APPLICATION PROCEDURES FOR 
RENEWAL 

The Division shall mail renewal notifications to 
each property mapper whose certification is about 
to expire. The renewal notifications shall be 
mailed out on approximately October 1 and shall 
be returned by the property mapper with adequate 
documentation by December \_ in the year in which 
the property mapper's certification expires. For 
the convenience of the property mapper, the 
Division shall also send a Certification Application 
along with this notification accompanied by neces- 



1793 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



sary guidelines and instructions. 

Statutory Authority G.S. 147-54. 4(d); 147-54. 4(e). 

.1206 REQUIRED DOCUMENTATION 

In order to be considered for certification or 
recertification. the applicant shall supply the 
Department with appropriate documents that give 
evidence that the applicant has completed the 
required courses, credit hours of instruction and 
examination as described in Rules . 1208 and . 1209 
of this Section. This evidence may come in 



various forms including receipts, certificates, 
diplomas, and affidavits. This documentation shall 
accompany the completed application. If the 
Department determines that the documentation is 
inadequate, the application shall be deemed incom- 
plete and shall be returned to the applicant with a 
request for more information. The applicant shall 
submit adequate documentation to the Department 
within 15 calendar days of this request. 

Statutory Authority G.S. 147-54. 4(b); 147-54. 4(e). 

.1207 FEES 

Applications for certification and renewal shall 
be accompanied by the proper fees as set out ]n 
G.S. 147-54. 4(d). Checks or money orders made 
payable to the "State of North Carolina/General 
Fund" shall be accepted for payment of fees . Cash 
shall not be accepted . 

Statutory Authority G.S. 147-54. 4(d); 147-54. 4(e). 

.1208 INSTRUCTION AND EXAMINATION 
FOR INITIAL CERTIFICATION 

(a) An applicant shall attend the following 
courses of instruction to be considered for initial 
certification: 

(1) IOG Listing & Assessing Class. 
£2} NCPMA Mapping School. 

(b) An applicant shall also obtain a passing 
score on the following examinations prior to 
receiving initial certification by the Department: 

(1) TOG Listing & Assessing Exam. 

(2) NCPMA's Certified Property Mappers 
Exam. 

Statutory Authority G.S. 147-54. 4(b); 147-54.4(e). 



.1209 COURSES OF INSTRUCTION FOR RECERTIFICATION 

£a} The courses of instruction with corresponding hours that will be credited toward recertification are as 
follows: 

COURSE HOURS 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1794 



PROPOSED RULES 



Li] 
{21 

01 

14] 

15] 

16] 

12] 

18] 

19] 

(10) 

Oi] 

(12) 

(13) 

(14) 

(15) 

(16) 



AM/FM International 
GIS/LIS 

IAAO Course #6 

IOG Listing & Assessing 

National URISA 

NC ASPRS 

NC GIS Conference 

NC Surveyors Conference 

NC URISA 

NCPMA Fall Conference 

NCPMA GIS Conference 



24 hours 



NCPMA Mapping School 

NCPMA Regional Workshops 8 

Society of Surveyors Chapter Meetings 
Surveyors Institute 

URISA Workshop 8 

fb) An applicant shall complete at least 24 hours of the courses listed in Paragraph (a) of this 
two years to be considered for recertification. The credit hours may include a combination 
equalling 24 hours or one course equalling 24 hours, 
(c) All accrued credit hours shall terminate with the certification renewal . 

Statutory Authority G.S. 1 47-54. 4(b); 147-54. 4(c); 147-54. 4(e). 



24 hours 


24 hours 


16 hours 


24 hours 


8 hours 


8 hours 
16 hours 


4 hours 


16 hours 


8 hours 


24 hours 


- 16 hours 


4 hours 


24 hours 


- 16 hours 


Rule every 
of courses 



.1210 CERTIFICATION SCHEDULE 

(a) Local government property mapper initial 
certifications are effective upon approval by the 
Department and shall expire on December 31 of 
the second calendar year following such approval . 
Renewals are effective on January i and shall 
expire on December 31 of the second calendar 
year following such renewal. The fee submitted 
with the application or renewal shall be the fee 
pursuant to G.S. 147-54. 4(d) and shall not be 
prorated, regardless of the month in which the 
application is received for consideration. 

(b) If the property mapper allows his certifica- 
tion to lapse beyond 30 days, he will be required 
to meet the requirements as described in Rule 
.1208 of this Section. 

Statutory Authority G.S. 147-54.4(b); 147-54.4(c); 
147-54.4(d); 147-54.4(e). 

.1211 APPLICATION REVIEW 

The Department, with assistance from the Certif- 
ication Board of the NCPMA, shall review each 
application to insure that the applicant is eligible, 
has completed all the necessary courses, and has 
succeeded in submitting all the required documents 
and fees. 

Statutory Authority G.S. 147-54. 4(b); 147-54.4(e). 

.1212 NORTH CAROLINA CERTIFIED 

PROPERTY MAPPER CERTIFICATE 



Upon meeting the criteria set forth in G.S. 



147-54.4 and the rules of this Section, the property 
mapper shall receive his certificate and personal 
certificate number within 30 days of submitting his 
application for certification or renewal . If the 
application has to be returned for any reason, 
(e.g., incomplete documentation pursuant to Rule 
. 1206 of this Section) the property mapper shall 
receive his certificate within 30 days of submitting 
a new application and/or additional documentation. 

Statutory Authority G.S. 147-54.4. 

.1213 TERMINATION OF LOCAL 

GOVERNMENT EMPLOYMENT 

The termination of employment shall automatical- 
ly disqualify the property mapper for renewal of 
certification. 

Statutory Authority G.S. 1 47-54. 4(a); 147-54. 4(b); 
147-54.4(e). 

TITLE 20 - DEPARTMENT OF 
STATE TREASURER 

1\ otice is hereby given in accordance with G.S. 
150B-21.2 that the Local Government Commission 
intends to amend rules cited as 20 NCAC 7 .0101 - 
.0107, .0201 - .0203, .0301 - .0305, .0401 - 
.0404, .0501 - .0505, .0602 and .0603. 



1795 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



1 he proposed effective date of this action is 
March 1, 1994. 

1 he public hearing will be conducted at 10:00 
a.m. on January 6, 1994 at the Albemarle Build- 
ing, Room 100, Conference Room, 325 N. Salis- 
bury Street, Raleigh, NC. 

tveason for Proposed Action: 1. To adjust 
procedures to conform to the requirements laid out 
in the Federal Deposit Insurance Corporation 
Statements of Policy dated March 23, 1993, and 
2. To make the language more reader-friendly. 

(comment Procedures: Written comments regard- 
ing these Rules should be mailed or delivered to 
the APA Coordinator, Department of State Trea- 
surer, 325 N. Salisbury Street, Raleigh, NC 
27603-1385. Oral comments at the public hearing 
must be accompanied by a written copy of the 
comments. 

CHAPTER 7 - COLLATERALIZATION 
OF DEPOSITS 

SECTION .0100 - GENERAL 

.0101 GENERAL INFORMATION 

(a) This Chapter sets forth the manner in which 
the official depositories shall provide the 
col lateralization of the uninsured balances on 
deposit in accordance with provisions in G.S. 
18B-702(d), G.S. 115C-443 and 444, G.S. 
115D-58.6(b) and 58.7(b), and G.S. 147-69.1 and 
79, G.S. 159-30 and 31, aftd G.S. 1 16-36. lfhL 
and G.S. 84-34.1 

(b) All correspondence to the State Treasurer 
under this Chapter shall be addressed to: Division 
of Investment and Banking, Department of State 
Treasurer, 325 North Salisbury Street, Raleigh, 
North Carolina 37644 27603-1385 . 

Statutory Authority G.S. 115C-444(b); 147-79: 
1 59-31 (b). 

.0102 DEFINITION OF TERMS 

The words and phrases defined in this Rule will 
have the meanings indicated when used in this 
Chapter, unless the context clearly requires 
another meaning: 

(1) (3) "Demand Deposits" are all deposits 

that are not time deposits as defined in 



these Rules,, Le^ all non-interest bearing 
deposits . 

(2) (3) "Deposit Accounts" include all 
demand and time deposits as defined in 
these Rules. 

(3) {4) "Deposit Insurance" means the 
insurance provided by the Federal 
Deposit Insurance Corporation , and the 
Federal — Savings — and — Loan — Insurance 
Corporation . 

{§) "Depositor" means the State Treasurer or 

any custodian. 

£4} {6} "Depository" means a financial 
institution into which the State Treasurer 
or a local participating unit is empowered 
to deposit money with or without 
interest, and which is required by law to 
secure the deposits with deposit insurance 
and or collateral securities. 

(5) {7) "Governmental Unit" includes any 
city, town, county, special district, public 
hospital, public authority, whose deposits 
are required to be secured. 

(6) {&) " Local Participating Unit" means any 
governmental unit, any city or county 
school administrative unit, any 
community college, and any local ABC 
board,, any university depositing moneys 
pursuant to G.S. 1 16-36(h), and the State 
Bar of North Carolina . 

(7) f4-) " Custodian Public Depositor " means 
the State Treasurer or the person charged 
with the custody of public deposits of a 
local participating unit, or an institution 
of the — University — of North — Carolina 
depo s iting — money s — pursuant — to — Gt-St 
1 16 36.1(h). — The custodian for the In 
the case of special funds of the individual 
schools of a city or county school 
administrative unit, this person is the 
school finance officer. 

(8) (9) "Public Deposits" means all deposits 
made to the account of the State 
Treasurer and all deposits made by a 
local participating unit in any depository,, 
including those held by the depository m 
an escrow capacity . 

(9) f4Q) "State Funds" means deposits to the 
account of the State Treasurer. 

(10) ^44} "State Treasurer" means the State 
Treasurer of North Carolina. 

(1 1) ( 1 2) "Time Deposits" means 

interest-bearing deposits with fixed 

maturitie s of five years or less, including 
certificates e£ — deposit. s aving s 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1796 



PROPOSED RULES 



certificates, savings accounts, negotiable 
order of withdrawal (NOW) accounts, 
and money market deposit accounts 
(MMDA)^ and certificates of deposits and 
savings certificates, both negotiable and 
non-negotiable . 

fl-3-) "Time Deposits Long Term" — mean s 

certificates — ef- — deposit — and — s aving s 
certificates with fixed maturities greater 
then — five — years — from — th* — date — ef 
acquisition. 

Statutory Authority G.S. 115C-444(b); 147-79; 
159-3 1(b). 

.0103 NOTIFICATION BY DEPOSITOR 

(a) When opening a new deposit account, the 
State Treasurer or the cu s todian public depositor 
shall provide the depository either written or oral 
notification that the deposits in said deposit 
account are public deposits subject to the 
collateralization rules. 

(b) As of June 30 of each year, or when 
requested by the State Treasurer, the custodian 
public depositor shall provide the depository Form 
INV-91 " Notification of Public Deposit Statu s 
Report ", listing the current account names and 
numbers of all public deposit accounts, and shall 
provide a duplicate copy to the State Treasurer. 
Form INV-91 shall be certified by the custodian 
public depositor that the statements are correct. 

(c) If the depository has any reason to believe 
that a deposit account for which it has e© not 
received a notification pursuant to Paragraph (a) of 
this Rule is in fact a public deposit, it may forward 
to the custodian public depositor a written request 
for verification of the deposit account. The 
custodian public depositor shall respond promptly 
to this request in writing to the depository. 

Statutory Authority G.S. 115C-444(b); 147-79; 
159-31 (b). 

.0104 METHODS OF SECURING DEPOSITS 

fa-> — Depo s its of State fund s . — Unin s ured State 
funds except for time deposits long term shall be 
secured — through a pool of collateral subject to the 
provi s ion s relating to Option 2 except as otherwise 
provided in thi s Chapter. 

{&) Deposits — of Local — Participating — Cnits. 

Except for time deposits long term each depository 
shall have the following options: 

fH Option — ]-. Te — secure — ati — uninsured 

public — depo s its — ef- — eaeh — custodian 
s eparately. Each — custodian — shall 



maintain — a — record — of the — securities 
pledged for monitoring purposes. 

{3-) Option — 3r. Te — s ecure — aH — uninsured 

public — deposits — ef- — every — custodian 
through a pool of collateral established 
by — the — depository — with — the — State 
Trea s urer for the benefit of the State 
and the local participating units. The 
State Treasurer s hall maintain a record 
of the s ecurities pledged for monitoring 
purposes. 

iej Time — Deposits Long — Term. A-H — Hme 

depo s its long term shall be secured separately from 
all oth e r depo s its of the s tate, a governmental unit, 
a school unit, a mutual fund operated pursuant to 

GrS^ 159 30(c)(6a) — ef — a — housing — authority 

e s tablished pursuant to G.S. — 1-St^ — The separate 
collateralization shall continue for a s long as the 
State Trea s urer or custodian holds the investment. 
Deposit insurance shall not be con s idered when 
e s tabli s hing the required amount of collateral. The 
rules in Sections .0200. .0300. .0 4 00, and .0600 
ef- — this — Chapter. — net — incompatible — with — this 

Paragraph, shall apply. Reports required under 

Section .0500 of thi s Chapter s hall be submitted in 
the manner required for Option 1 . 

fd} — Mutual funds operating pursuant to G.S. 
159 30(c)(6a) shall be secured separately from all 
other depo s its of the s tat e , a local participating unit 
or a housing authority in the same manner as 
though the chief financial officer of the manager of 
the mutual fund is a custodian. — Deposit insurance 
may. but is not required to. be con s idered when 
establishing the required amount of collateral. — The 
rule s in Section s .0200. .0300, .0 4 00 and .0600 of 
thi s Chapter not incompatible with thi s Paragraph 
s hall apply. — Forms required in the rules may but 
need not be used at the di s cretion of the custodian. 
The — custodian — may — with — the — con s ent — ef- — the 
depository require more stringent conditions but 
shall not permit any less s tringent conditions than 
the rules in this Chapter. — Reports required under 
Section .0500 of this Chapter shall be submitted in 
a manner mutually agreed upon by the custodian 
and the depo s itor)' provided that all information 
required — te — be — reported — under — Option — 4 — is 
contained in the report. 

(a) Deposits of Public Depositors. Except for 
public deposits of housing authorities each 
depositors' shall have the following options: 

(1 ) Dedicated Method. To secure all 
uninsured public deposits of each public 
depositor separately. The depository 
shall maintain a record of all securities 
pledged, with such record being an 



7797 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



official record of the depository and 

made available to examiners or 

representatives of all regulatory 

agencies. Each public depositor shall 

maintain a record of the securities 

pledged for monitoring purposes. 

(2) Pooling Method. To secure all 

uninsured public deposits of every 

public depositor through a pool of 

collateral established by the depository 

with the State Treasurer for the benefit 

of the State and the participating units. 

The depository shall maintain a record 

of all securities pledged, with such 

record being an official record of the 

depository and made available to 

examiners or representatives of all 

regulatory agencies. The State 

Treasurer shall maintain a record of the 

securities pledged for monitoring 

purposes. 

(be) Notwithstanding the definitions in 20 

NCAC 7 .0102, housing authorities established 

pursuant to G.S. 157, Article 1 and operating 

under the provisions of the United States Housing 

Act of 1937, as amended, shall not be con s idered 

govcrnracntal units for the purpose of thi s Chapter 

eligible to be included in the Pooling Method . 

The deposits of such housing authorities shall be 

collateralized separately with the chief financial 

officer of the housing authority acting as custodian 

under the Dedicated Method, and in accordance 

with any further restrictions required by 

regulations of the United States Department of 

Housing and Urban Development . The rule s in 

Sections .0200, .0300, .0 4 00 and .0600 of this 

Chapter, — »et — incompatible with — this — Paragraph 

shall apply. — Reports required under Section .0500 

of this Chapter shall be submitted in the manner 

required for Option 1 . 

(c) The State Treasurer shall maintain a listing 
of depositories which have selected the Pooling 
Method, and shall periodically make such listing 
available to all participating units. 

Statutory Authority G.S. U5C-444(b); 147-79; 
159-31 (b). 

.0105 EXERCISING THE POOLING 
METHOD 

(a) Until Form INV 92 is filed with the State 
Treasurer and the custodian, the depository — is- 
under Option 1 Unless and until the requirements 
of this Rule are met, the depository is considered 
to be under the Dedicated Method. 



(b) If the depository selects Option 2 the Pooling 
Method , it shall: 

(1) Submit to the State Treasurer a letter of 
intent, indicating the effective date it 
intend s to elect Option 2 desires to 
convert to the Pooling Method , which 
shall not be prior to the date the 
requirements of Items 2, 3, and 4 this 
Paragraph Rule are met. 

(2) Submit to the State Treasurer an 
executed Form INV-93A, "Security 
Agreement with Resolution", required 
to comply with Rule .0305 of this 
Chapter. 

(3) {3) Submit to the State Treasurer all 
executed escrow agreements required to 
comply with Rule .0303(b) of this 
Chapter . 

(4) {3) Submit to the State Treasurer Form 
INV-99, "Selected Financial Data," 
referred to in Rule .0501(c) of this 
Chapter . 

(5) (4) Submit to the State Treasurer Form 
INV-97, "Annual Report on Public 
Deposits" referred to in Rule .0502(c) 
of this Chapter ; however, the report 
shall be for the period immediately 
preceding the date of the election of 
Option 2 the Pooling Method . 

(6) {§) Submit to each custodian public 
depositor Form INV-92, "Election of 
Option 2 Pooling Method ," notifying 
them that it has opted to pool the 
collateral of all public deposits through 
the State Treasurer; and provide the 
State Treasurer a duplicate copy of all 
"Election of Option 2 Pooling Method " 
forms. 

(c) When Option 2 Pooling Method is chosen, 
the depository shall pledge the required amount of 
collateral with the escrow agent in one of two 
ways: 

(1) The depository shall request the 
custodian public depositor to sign a 
letter authorizing the escrow agent to 
release any collateral securities pledged 
to the local participating unit to be 
simultaneously repledged to the State 
Treasurer,, with the effective date of the 
release not being prior to the effective 
date indicated on the Form INV-92 . 
The recognized effective date shall be 
the date on which the escrow agent 
records the pledge of the required 
collateral securities to the State 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1798 



PROPOSED RULES 



Treasurer. 
(2) The depository shall first pledge the 
required amount of collateral securities 
with the escrow agent to the account of 
the State Treasurer, and then request 
the cu s todian public depositor to sign a 
letter authorizing the escrow agent to 
release any collateral securities pledged 
to the local participating unit without 
substitution. The recognized effective 
date shall be the date on which the 
depositor)' files Form 1NV92 with the 
Stat e — Treasurer the effective date 
indicated on the Form IN'V-92. 



(d) The custodian public depositor shall 
promptly sign any authorization letter referred to 
in Paragraph (c) of this Rule. 

Statutory Authority G. S. 115C-444(b); 147-79; 
1 59-31 (b). 

.0106 FORMS 

The following forms shall be promulgated by the 
State Treasurer and shall be used for the purpose 
outlined in this Chapter unless specific permission 
is given to use a substitute: 

INV-91 Notification of Public Deposit 

Status Repor t, 

INV-92 Election of Option 2 Pooling 

Method . 

INV-93A Security Agreement with 



(1) 

(2, 
11) 

141 
(5) 
16} 
ID 
lil 
19) 
(10) 
11 



Resolution (Pooling Method). 

f3-) INV-93B Escrow Agent Agreement 

(Pooling Method) , 

INV-94A Security Agreement with 

Resolution (Dedicated Method). 

(4) INV-94B Standard Escrow Agent 

Agreement (Dedicated Method) , 

{&) INV-95 Request for Collateral 

Change Pledge and/or Release , 

<6) IXV-96 Quarterly Report on Public 

Deposits, 

£7) INV-97 Annual Report on Public 

Deposits. 

{&) INV-98 Annual Report on Collateral 

for Public Deposits, 

(94 INV-99 Selected Financial Data. 



Statutory Authority G.S. 115C-444(h); 147-79; 
159-3 Kb). 

.0107 DUTY OF DEPOSITORY 

By accepting public deposits, the depository 
assumes the duty and responsibility of maintaining 
adequate collateral as provided by law and in 



accordance with the provisions of this Chapter, for 
all uninsured deposits in accounts for which the 
custodian public depositor has notified the 
depository pursuant to Rule .0103 of this Chapter. 

Statutory Authority G.S. 115C-444(b); 147-79; 
159-31 (b). 

SECTION .0200 - SECURITIES TO BE 
DEPOSITED 

.0201 ELIGIBLE INVESTMENT 
SECURITIES 

The following types of investment securities are 
eligible for pledging as security provided that the 
securities are currently eligible for investment by 
the depository and can be included at full value in 
the reserves of the depository: 

(1) Obligations of the United States of 
America; 

(2) Obligations of any agency or 
instrumentality of the United States of 
America if the payment of such 
obligations is fully guaranteed by the 
United States of America; 

(3) Obligations of the State of North 
Carolina, the N.C. Medical Care 
Commission, the N.C. Housing Finance 
Agency, the N.C. State Education 
Assistance Authority and the component 
institutions of the University of North 
Carolina; 

(4) Bonds or notes of any North Carolina 
local government or public authority 
issued with the approval of the Local 
Government Commission and not 
currently in default on payment of 
interest or principal of any of its bonds 
or notes; 

(5) General obligations bonds of other states 
whose full faith and credit are pledged to 
the payment of principal and interest 
thereof; 

(6) Bonds, notes and other direct obligations 
of the Federal Financing Bank, the 
Federal Farm Credit Bank System , the 
Bank — fef — Cooperative s . — the — Federal 
Intermediate Credit Bank, the Federal 
Land Banks, the Federal Home Loan 
Banks, the Federal Home Loan Mortgage 
Corporation, the Federal National 
Mortgage Association, the Government 
National Mortgage Association, the 
Federal Housing Administration, the 
Farmers Home Administration, the 



1799 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



United States Postal Service, the 
Export-Import Bank, the International 
Bank for Reconstruction and 
Development, the International Finance 
Corporation, the Inter-American 
Development Bank, and the Asian 
Development Banki the African 
Development Bank, and the Student Loan 
Marketing Association; 

(7) Bonds or notes of a housing authority 
established or to be established pursuant 
to Article 1, Chapter 157 of the General 
Statutes of North Carolina or issued by 
any public housing authority or agency in 
the United States, when such bonds and 
notes are secured by a pledge of an 
annual contribution to be paid by the 
United States government or any agency 
thereof, or bonds or notes which may be 
issued by a not-for-profit corporate 
agency of a housing authority secured by 
rentals payable pursuant to Section 23 of 
the United States Housing Acts of 1937, 
as amended; 

(8) Pre-refunded bonds and bonds escrowed 
to maturity - the issuer shall have applied 
for and received a re-rating of "AAA" by 
at least one nationally recognized rating 
service by reason of U.S. Government 
securities being escrowed with the 
trustee; 

(9) Special obligation bonds - if they must be 
were originally rated "AAA" by reason 
of U.S. Government securities being 
escrowed with the trustee; 

(10) Prime quality commercial paper bearing 
the highest rating of at least one 
nationally recognized rating service and 
not bearing a rating below the highest by 
any nationally recognized rating service 
which rates the particular obligation; 

(1 1) Bills of exchange or time drafts drawn on 
and accepted by a commercial bank and 
eligible for use as collateral by member 
banks in borrowing from a federal 
reserve bank, provided that the accepting 
bank or its holding company is either: 

(a) incorporated in the State of North 
Carolina; or 

(b) has outstanding publicly held 
obligations bearing the highest rating of 
at least one nationally recognized rating 
service and not bearing a rating below 
the highest by any nationally recognized 
rating service which rates the particular 



obligations. 
In case of questions, it is the responsibility of the 
depository to demonstrate that the security pledged 
does fulfill the requirements of this Rule. 

Statutory Authority G. S. U5C-444(b); 147-79; 
159-31 (b). 

.0202 AMOUNT OF COLLATERAL 
REQUIRED TO BE PLEDGED 

(a) Under Option 1 the Dedicated Method , each 
depository, which is required to pledge collateral 
to secure the deposit accounts of a public moneys 
depositor , shall maintain collateral with an escrow 
agent equal to or in excess of 100 percent of the 
total amount of all depo s its deposit accounts to the 
credit of the custodian public depositor less the 
allowable credit for deposit insurance. 

(b) Under Option 2 the Pooling Method , the 
amount of required collateral shall be the sum of 
the amounts required to be collateralized for all 
public depositors in the financial — institution 
depository calculated as follows: 

(1) Demand Deposits. 100 percent of the 
average daily balance for the calendar 
year to date, or 100 percent of the 
average daily balance for the immediate 
preceding three calendar month period, 
or 100 percent of the average daily 
balance for the current month to date, 
or such other balance as shall be given 
prior approval by the State Treasurer, 
less the applicable deposit insurance for 
each public depositor. Calculations for 
any period other than the "current 
month to date" method may be based 
on the period ending the last day of the 
prior month. At the option of the State 
Treasurer, the Treasurer may require 
calculations to be in accordance with 
the requirements of an — Option — t 
depository the Dedicated Method , if it 
is deemed that the averaging method for 
a particular depository does not 
accurately reflect the amount of 
deposits to be secured. 

(2) Time Deposits. 100 percent of the 
actual current balance, less the 
applicable deposit insurance for each 
public depositor. 

(c) The maximum amounts of deposit insurance 
which may be accepted applied to a public 
depositor shall be one hundred thousand dollars 
($100,000) on demand deposits and a separate one 
hundred thousand dollars ($100,000) on time 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1800 



PROPOSED RULES 



case of the 

amount of collateral 



deposits- — An unused amount of inaurance may not 
be applied to another cu s todian or to another type 
of deposit. • however, the deposits in the name of 
the an individual school treasurers shall be allowed 
one hundred thousand dollars ($100,000) total 
insurance on both time and demand deposits 
combined . An unused amount of insurance may 
not be applied to another public depositor or to 
another type of deposit. 

(d) All eligible securities pledged shall be valued 
at current market. 

(e) The custodian public depositor in the case of 
public — deposits — separately — collateralized the 
Dedicated Method and the State Treasurer in the 

Pooling Method may require the 
to be pledged by the 
depository to be 10 percent greater than the 
amount required under this Rule, if the market 
value of pledged securities is below the amount 
reasonably required to insure public deposits 
against the risks apparent at the time of the 
request. 

Statutory Authority G S. U5C-444(b); 147-79; 
159-31 (b). 

.0203 SURETY BONDS 

Surety bonds with a corporate surety may be 
substituted in lieu of part or all of the collateral 
required under this Chapter under the following 
conditions: 

(1) The company is licensed by the 
Commissioner of Insurance to conduct 
the business of suretyship in North 
Carolina, and is acceptable to the State 
Treasurer. 

(2) The company may not provide surety 
bonds to collateralize public deposits 
within North Carolina in amounts 
exceeding the underwriting limitations 
established by the U.S. Department of 
the Treasury as provided in Sections 
3904 to 3908 of Title 3 1 of the United 
States Code or successor provisions. 

(3) The bond must not permit reduction in 
the penal amount except with the express 
written permission of the State Treasurer 
in the case of the Pooling Method , or 
custodian in the case of public deposits 

other — than state funds separately 

collateralized the Dedicated Method . 

(4) The company must agree to provide the 
State Treasurer a quarterly report listing 
all surety bonds issued to collateralize 
public deposits in North Carolina. The 



report shall list as- at a minimum the 
person to whom issued, the depository 
for whom issued, the penal sum at the 
end of the quarter, the highest penal sum 
during the quarter and the date(s) to 
which the highest penal sum applied, and 
the underwriting limitation as defined in 
Paragraph (2) of this Rule currently in 
effect . 

(5) The surety bond must include the rules in 
20 NCAC 7 by reference and provide 
that said rules and the definitions therein 
shall prevail in all questions of conflict 
with other provisions of the bond. 

(6) The bond shall be payable in federal 
funds no later than the tenth calendar day 
after final adjudication. Final 
adjudication means the issuance of a 
ruling by the State Treasurer that a 
default exists, which ruling has not been 
stayed by an appeal of the ruling as 
provided by law. 

The words "collateral" and "collateralize" shall 
include surety bonds and the use of surety bonds 
when used in any rule of this Chapter not 
incompatible with this Rule. 

Statutory Authority G.S. U5C-444(b); 147-79; 
159-31 (b). 

SECTION .0300 - ESCROW 
OF SECURITIES 

.0301 ELIGIBLE ESCROW AGENTS 

All securities pledged to secure public deposits 
shall be deposited either: 

(1) with a Federal Reserve Bank or a Federal 
Home Loan Bank or a branch thereof 
pursuant to Rule .0302 of this Section; or 

(2) with a an unaffiliated, national or 
state-chartered bank with authority to 
conduct a trust business pursuant to Rule 
.0303 of this Section. 

Statutory Authority G. S. 115C-444(b); 147-79; 
159-3 1(h). 

.0302 ESCROW WITH FEDERAL 

RESERVE BANK OR FEDERAL 
HOME LOAN BANK 

(a) Securities pledged with a Federal Reserve 
Bank or a branch thereof shall be deposited under 
Circular 16 of the Federal Reserve Banks in the 
name of the State Treasurer in the case of Option 
3 the Pooling Method or the cu s todian public 



1801 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



depositor in the case of Option 1 the Dedicated 
Method . The appropriate signature card must be 
executed . 

(b) Securities pledged with a Federal Home 
Loan Bank or a branch thereof shall be deposited 
as provided in Regulation 5 4 5.2 4 2 and 5 4 5.2 4 3 
of the Federal Home Loan Bank in the name of 
pursuant to Rule .0303(b) of this Section, and 
pursuant to the terms of the Federal Home Loan 
Bank's "Pledge Agreement Custody Receipt" 
which may be in effect from time to time. The 



pledgee shall be the State Treasurer in the case of 
Option 2 the Pooling Method or the custodian 
public depositor in the case of Option — I the 
Dedicated Method . 

Statutory Authority G S. 115C-444(b); 147-79; 
159-31 (b). 

.0303 ESCROW WITH A NATIONAL 
OR STATE-CHARTERED BANK 

(a) Any unaffiliated bank or trust company 
which is authorized to conduct a trust business and 
is chartered by the United States government or 
any of its fifty states is eligible to act as an escrow 
agent. 

(b) All escrow accounts shall be established with 
the appropriate Escrow Agent Agreement. AH- 
Escrow accounts for the State Treasurer under the 
Pooling Method shall be established by Form 
INV-93B. "Escrow Agreement". — AW Escrow 
accounts for a custodian public depositor under the 
Dedicated Method shall be established by Form 
INV-94B "Standard Escrow Agreement" . The 
escrow agent agreements shall contain the 
necessary language to establish the required trust 
as provided in this Chapter. 



Statutory Authority G. S. 115C-444(b); 
159-31 (b). 



147-79; 



.0304 PLEDGING: RELEASING AND 
SUBSTITUTING COLLATERAL 

(a) All pledges and releases of collateral to or 
from an escrow account shall be carried — »trt 
initiated by means of Form INV-95 "Request for 
Collateral Change Pledge and/or Release Form ". 
The form shall require the following: 

(1) Amount and description (including 
CUSIP numbers) of securities to be 
released and pledged; 

(2) The effect of the transaction(s) on the 
total collateral pledged, including the 
percentage of excess then pledged, if a 
decrease; 



(3) Prior approval of all reductions in the 
total amount releases and substitutions 
of collateral by the State Treasurer or 
custodian public depositor, as 
applicable ; 

(4) That all transactions be reported to the 
State Treasurer or cu s todian public 
depositor as applicable ; and 

(5) Certification by an authorized official 
of the depository that after the 
transaction(s) are completed, the 
collateral pledged meets the 
requirements of Rule .0202 of this 
Chapter. 

(b) Forms INV 93 and INV 9 4 shall provide for 
the substitution of eligible collateral for collat e ral 
already pledged on a par for par basis. Nothing in 
this Rule shall have the effect of reducing the 
obligations of the depository to secure public 
deposits or the required amount of collateral to be 
pledged. Th e State Trea s urer may, at his sole 
discretion, rescind permanently or for a period of 
time the depo s itory' s right of s ubstitution by a 
letter of instruction mailed to the e s crow agent at 
his place of business a s s hown in the escrow 
agreement certified mail, return receipt requested. 

(c) The depository may substitute its own format 
for Form INV-95 provided the format is 
substantially the same in content and order of 
presentation. 

Statutory Authority G. S. 115C-444(h); 147-79; 
159-31 (b). 

.0305 SECURITY AGREEMENTS 

Separate collateralization of depo s its pursuant to 
20 NCAC 7 .010 4 and 20 NCAC 7 .0 4 01(b) shall 
require escrow agreements, escrow accounts and 
reports — s eparate — and — apart — from — the — e s crow 
agreement s , escrow accounts, and reports used in 
the process of collateralizing the regular deposits 
of the depositor. 

(a) Under the Dedicated Method, each 
depository which is required to pledge collateral to 
secure the deposits of a public depositor, shall 
execute with the public depositor Form INV-94A, 
"Security Agreement with Resolution". Form 
INV-94A shall consist of both a "Depository 
Resolution" and a "Security Agreement". 

(b) Each depository that elects the Pooling 
Method is required to execute with the State 
Treasurer Form INV-93A, "Security Agreement 
with Resolution". Form INV-93A shall consist of 



both a "Depository Resolution' 
Agreement". 



and a "Security 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1802 



PROPOSED RULES 



£c] Forms INV-93A and INV-94A shall contain 
the necessary language required to establish the 
provisions for the perfected delivery of collateral 
securities pursuant to the requirements of the 
Federal Deposit Insurance Corporation's Policy 
Statement dated March 23, 1993, and the North 
Carolina Uniform Commercial Code. 

Statutory Authority G.S. U5C-444(b); 147-79; 
159-3 lib). 

SECTION .0400 - DELIVERY 

AND SALE OF PLEDGED 

SECURITIES IN THE EVENT 

OF DEFAULT 

.0401 REQUEST FOR DELIVERY 
OF PLEDGED SECURITIES 

(a) The State Treasurer shall, upon default of 
the depository', request delivery of such part of the 
pledged collateral as may be needed to hold the 
State Treasurer and or any other — political 
subdivision participating unit harmless from losses 
incurred by the default. The State Treasurer shall 
have full discretion as to the amounts and 
securities to be delivered but shall attempt to 
choose those securities which he believes to be the 
most saleable in the circumstances. 

(b) A default is defined as the failure of the 
depository to fulfill its statutory duties to honor 
timely requests for withdrawals. A legitimate 
dispute regarding the liability of the depository for 
specific items of deposit or withdrawal shall not be 
considered a default during the period of 
adjudicating the dispute so long as the disputed 
amounts are 100 percent separately collateralized 
by the depository at market value in accordance 
with this Chapter. 

(c) The State Treasurer shall provide at least 24 
hours notice to the depository and may provide up 
to 7 calendar days notice of his order to the 
escrow agent to deliver part or all of the pledged 
securities to the State Treasurer and notice of the 
amount of the default. During the notice period 
the depository shall have the right to pay off the 
amount in default in full by the sale of any of the 
securities pledged which the depository chooses to 
sell, provided that the escrow agent or the 
depository shall transfer the entire amount of the 
default in federal funds to the State Treasurer prior 
to the due date for delivery of the pledged 
securities. This notice may be provided solely by 
telephone communication. 

Statutory Authority G. S. 115C-444(b); 147-79; 



159-31 (b). 

.0402 SAFEKEEPING OF DELIVERED 
SECURITDIS 

(a) The State Treasurer may. at his sole 
discretion, require delivery either to the Investment 
and Banking Division, Department of State 
Treasurer, 325 North Salisbury Street, Raleigh, 
North Carolina 2761 1 -1385 or to any duly licensed 
State chartered or national bank designated by the 
State Treasurer. 

(b) The State Treasurer shall use the same care 
with respect to the custody of the delivered 
securities as he exercises with respect to the State 
investments in his custody but he will not insure 
the delivered securities against any risks. 

Statutory Authority G. S. 115C-444(b); 147-79; 
159-31 (b). 

.0403 CERTIFICATION OF DEFAULT 
BY PUBLIC DEPOSITORS 

(a) The custodian public depositor shall provide 
to the State Treasurer a statement of all 
circumstances which he feels gives rise to a 
default. Each custodian public depositor is 
requested to discuss with the State Treasurer the 
need for a ruling on the existence of a default prior 
to the sending of the statement. The statement shall 
be notarized and mailed to the State Treasurer 
certified mail, return receipt requested. In 
addition, each custodian public depositor shall 
provide the State Treasurer with certified copies of 
the security agreement with resolution, the escrow 
agent agreements, or other agreement and the last 
a current list of securities pledged to secure the 
applicable deposit account accounts . 

(b) The State Treasurer shall make a 
determination no later than the close of the 
business day, next following receipt of the request 
with regard to the default. The State Treasurer 
may, in his sole discretion, rule that: 

(1) a default has occurred, 

(2) a default has not occurred, or 

(3) that additional information is necessary 
before a ruling can be made. 

If additional information is necessary, the 
cu s todian public depositor may provide the 
information required. If it is provided, the 
cu s todian public depositor shall submit the 
information, notarized, by certified mail, return 
receipt requested. Receipt of the new information 
shall be considered to be a new request for 
determination. Appeal of a ruling of the State 
Treasurer shall be considered a contested case. 



1803 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



(c) Upon ruling that there is a default as regards 
a public depositor other than the State Treasurer, 
the State Treasurer shall proceed under Rule .0401 
of this Section. 

Statutory Authority G. S. 115C-444(b); 147-79; 
159-31 (b). 

.0404 SALE OF THE DELIVERED 
SECURITIES 

(a) The State Treasurer shall canvass its normal 
buyers for the type of securities which are to be 
sold and all potential buyers furnished to him by 
the depository from among licensed dealers who 
either make a market in the security or are 
currently offering to buy the security. 

(b) The State Treasurer shall sell as much of the 
securities as are needed to provide cash to cover 
the amount of the default. The State Treasurer 
may sell, at his sole discretion, all or part of any 
specific issue of security to be sold. 

(c) The State Treasurer shall deposit the amount 
of any default on State deposits deposit accounts of 
State funds in the applicable fund of the State and 
shall return all unsold securities and excess cash to 
the depository. The State Treasurer shall provide 
to the depository a release for the amount of 
default paid and such other documentation as may 
be appropriate to enable the depository to pursue 
a claim against a third party for the amount of the 
default. 

(d) If the default is on deposits deposit accounts 
of another — custodian a public depositor of a 
participating unit , the State Treasurer shall retain 
the amount of the default and shall return all 
unsold securities and excess cash to the depository. 
The State Treasurer shall determine the amount 
distributable to each public depositor, not to 
exceed the uninsured amount in default. The State 
Treasurer shall pay the amount in default to the 
other cu s todian public depositor after receiving 
from the other custodian public depositor a 
release, in duplicate, for the amount in default paid 
and such other documentation as may be 
appropriate to enable the depository to pursue a 
claim against a third party for the amount of the 
default. 

Statutory Authority G S. 115C-444(b); 147-79; 
159-31 (b). 

SECTION .0500 - REPORTING 

.0501 QUARTERLY REPORTING 

(a) In the case of Option — 1- the Dedicated 



Method , each the depository shall report to the 
each custodian public depositor the total par value 
and market value of securities pledged on the last 
day of the calendar quarter with the escrow 
agent(s) to secure public deposits of the public 
depositor . The report reports shall be submitted 
no later than the last day of the following month. 

(b) In the case of Option 2 the Pooling Method , 
eaeh- the depository shall submit Form INV-96 
"Quarterly Report on Public Deposits" to the State 
Treasurer no later than the last day of the month 
following the end of the calendar quarter. The 
report shall be dated on the last working day of the 
calendar quarter, shall summarize the accounts te 
be secured, shall summarize the amounts insured 
and secured at market, shall indicate the amount 
and percentage of excess collateral pledged, and 
shall be certified by an authorized officer of the 
depository that the statements are correct. 

(c) In addition to the Quarterly Report required 
by Rule .0501(b) of this Rule, Option 2 a 
depository utilizing the Pooling Method institutions 
shall submit to the State Treasurer Form INV-99 
"Selected Financial Data," which is a report 
containing selected financial data contained in 
either the current quarterly report of condition 
required by the Federal Deposit Insurance Act (12 
U.S.C.) or the current quarterly report required to 
be filed with the Federal Home Loan Bank Board, 
as applicable. 

Statutory Authority G S. 115C-444(b); 147-79; 
159-31 (b). 

.0502 ANNUAL REPORTING 

(a) In the case of Option — 1- the Dedicated 
Method , on or before July 31 of each year, the 
depository shall submit to the custodian each 
public depositor Form INV-98. 

(b) In the case of Option 2 the Pooling Method , 
on or before July 3 1 of each year, each depository 
shall submit to the State Treasurer Forms INV-97 
and INV-98, in addition to the quarterly report 
(INV-96) dated June 30. 

(c) Form INV-97 "Annual Report on Public 
Deposits" shall be dated June 30, shall list all 
public depositors, and for each public depositor, 
show the amounts on deposit by type, identify the 
amounts insured by type, and shall be certified by 
an authorized officer of the depository that the 
statements are correct. 

(d) Form INV-98 "Annual Report on Collateral 
for Public Deposits" shall be dated June 30, shall 
list and describe all collateral pledged (including 
CUSIP number, par and market value), with each 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1804 



PROPOSED RULES 



escrow agent for the cu s todian public depositor or 
State Treasurer, and shall be certified by an 
authorized officer of the depository that the 
statements are correct. 

(e) The depository may substitute tm its own 
format for Form INV-97 and Form INV-98, 
provided the format is substantially the same in 
content and order of presentation. 

Statutory Authority G. S. 115C-444(b); 147-79; 
159-31 (b). 

.0503 SPECIAL CALL REPORT 

Not more often than once in each annual period, 
the State Treasurer may require each depository to 
furnish a report in the same detail as the annual 
report as of any business day not more than 10 
calendar days before the date at which the special 
request for the report is mailed. In addition, the 
State Treasurer may require a detailed report 
listing the account numbers of each public 
depositor. 

Statutory Authority G. S. 115C-444(b); 147-79; 
159-31 (b). 

.0504 SPECIAL REPORTING RULE 
FOR DEDICATED METHOD 
DEPOSITORIES 

A depository which has State funds and which 
has set elected Option 2 the Dedicated Method 
shall file the — reports — required — m — Paragraphs 
.0501(a), .0501(c), and .0502(a) ,, in addition to all 
forms required under the Dedicated Method, Form 
INV-99 "Selected Financial Data," referred to in 
Rule .0501, Paragraph (c) of this Section . 

Statutory Authority G.S. 115C-444(h); 159-3 1(b). 

.0505 ADDITIONAL MONTHLY 

REPORTING REQUIREMENTS 

In the case of Option 2 the Pooling Method , the 
State Treasurer may at any time and at his own 
discretion direct the depository to file a report in 
the same format as the Quarterly Report required 
by Rule .0501(b), but on a monthly basis. 
However, the monthly reporting directive shall be 
required under any one of the following 
circumstances: 

( 1 ) A required report is repeatedly not filed 
timely. 

(2) A required report is filed with a material 
error. 

(3) A Quarterly Report required by Rule 
.0501(b) is filed indicating that "excess" 



collateral pledged is less than 10 percent 
of the amount required by Rule .0202. 
(4) The depository has been notified that the 
State Treasurer has invoiced Rule 
.0202(e), requiring additional collateral 
calculation s. 
Such monthly reporting directive shall be effective 
for a period of six months, after which time the 
depository may resume quarterly reporting. 
However, subsequent violations shall extend the 
period of monthly reporting as set forth in this 
Rule. 

Statutory Authority G.S. 115C-444(b); 147-79; 
159-31 (b). 

SECTION .0600 - ENFORCEMENT 

.0602 REVOCATION 

The State Treasurer may at any time and at his 
own discretion revoke the right of a depository to 
use the — collateral — peel the Pooling Method 
pursuant to 20 NCAC 7. An appeal of such an 
order shall be considered a contested case. During 
the processing of the contested case the order shall 
remain in effect. 

Statutory Authority G. S. 1 15C-444(b); 159-31 (b). 

.0603 ACCELERATION OF MATURITIES 

(a) Whenever any depository shall fail to correct 
a deficiency in collateral pursuant to this Chapter, 
including but not limited to Rule 20 NCAC 7 
.0202(e), the State Treasurer or the custodian 
public depositor of a participating unit , as the case 
may be, shall cause to be made an oral demand to 
the depository to correct the deficiency. 

(b) The custodian public depositor , in the case 
of public — depo s its — s eparately — collateralized the 
Dedicated Method , shall report any failure of a 
depository to correct a deficiency in the collateral 
pursuant to this Chapter to the State Treasurer no 
less than one full work day after the oral request 
to correct the deficiency. This report shall include 
a full statement of the circumstances surrounding 
the deficiency. The report shall be oral but shall 
be immediately followed by a written report. 

(c) The State Treasurer, after receiving the oral 
report from a custodian public depositor pursuant 
to Paragraph (b) or no less than one full work day 
after the oral request was made in his name to a 
depository which fails to correct the deficiency in 
the collateral required by this Chapter, shall issue 
a written request to the depository to correct a 
deficiency in the collateral required by this 



1805 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



Chapter. The depository may request a hearing 
within seven days of the receipt of the request. 
The appeal of the ruling by the State Treasurer 
resulting from the hearing shall be a contested case 
heard pursuant to Subchapter IF of this Title. 

(d) Any depository which after receiving the 
written request to correct a deficiency in the 
collateral does not correct the deficiency shall be 
subject to the provision of automatic acceleration 
of any time deposits of public depositors having 
fixed maturities ©n — aH — investments — m — the 
depository subject to this Chapter . On or after 
seven days from the receipt of the written request 
sent pursuant to Paragraph (c) of this Rule or three 
days from the receipt of the written decision of the 
State Treasurer arising from the contested case 
hearing, the State Treasurer may cause all time 
deposits having fixed maturities to be accelerated 
and become due and payable on demand without 
any loss in interest through the date actually paid 
by the depository. 

Statutory Authority G.S. 115C-444(b); 147-79; 
159-31 (b). 

TITLE 21 - OCCUPATIONAL 
LICENSING BOARDS 

iSotice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina State Board of 
Chiropractic Examiners intends to adopt rule cited 
as 21 NCAC 10 .0303 and amend .0103. 

1 he proposed effective date of this action is 
March 1, 1994. 

1 he public hearing will be conducted at 9:00 
a.m. on January 8, 1994 at the Sheraton Airport 
Hotel, 3315 South 1-85 at Billy Graham Parkway, 
Charlotte, NC. 

MXeason for Proposed Action: 

21 NCAC 10 .0103 is being amended to separate 

the offices of Secretary and Treasurer of the 

Board. 

21 NCAC 10 .0303 is being adopted to interpret 

G.S. 90-400, which prohibits the use of paid 

runners to solicit patients. 

Comment Procedures: Written comments may be 
sent to the Board for 30 days after publication. 
The Board's mailing address is P.O. Box 312, 



Concord, NC 28025. Oral comments will be 
received at the public hearing. 

CHAPTER 10 - BOARD OF 
CHIROPRACTIC EXAMINERS 

SECTION .0100 - ORGANIZATION 
OF BOARD 

.0103 STRUCTURE OF BOARD 

(a) Creation and Membership of Board of 
Examiners. The creation and membership of the 
Board of Chiropractic Examiners are governed by 
G.S. 90-139, which statute is herewith incorporat- 
ed by reference in accordance with G.S. 
150B- 14(c). 

(b) Selection of Chiropractic Members of Board 
of Examiners. The selection of chiropractic 
members of the Board of Examiners is governed 
by G.S. 90-140, which statute is herewith 
incorporated by reference in accordance with G.S. 
150B- 14(c). 

(c) Election of Candidates for Appointment to 
the Board. Annually, the Board shall select a 
time, date and place for the election of chiropractic 
candidates for appointment to the Board. At least 
three candidates shall be elected for each vacancy. 
The candidate receiving the most votes in each 
election shall be given a special recommendation. 

(1) The election shall be conducted by the 
Board of Chiropractic Examiners. Any 
member of the Board who is nominated 
to succeed himself shall be disqualified 
from conducting the vote in which he is 
a nominee. 

(2) Nomination shall be made from the 
floor and shall require two seconds. 
Any prospective nominee may withdraw 
his name from consideration by an oral 
statement to that effect. 

(d) Officers of the Board. Annually, and as 
soon as practicable after appointments have been 
made, the members of the Board shall elect a 

president, a vice-president, a-nd a 

s ecretary treasurer a secretary, and a treasurer . 

Statutory Authority 90-139; 90-140; 150B-14. 

SECTION .0300 - RULES OF UNETHICAL 
CONDUCT 

.0303 SOLICITATION OF AUTO 
ACCIDENT VICTIMS 

(a) In-Person and Telephone Solicitation 
Limited. In order to protect the public from 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1806 



PROPOSED RULES 



misrepresentation, coercion or undue influence, rt 
shall be unlawful for a doctor of chiropractic, or 
any party acting in his behalf, to initiate direct 
personal contact or telephone contact with any 
person who has been injured in a motor vehicle 
collision, or with any person residing in the 
injured person's household, for a period of 90 days 
following the collision, if the purpose of initiating 
contact is^ in whole or part, to solicit the injured 
person to become a patient of the doctor. 

(b) Solicitation By Mail Permitted, A doctor of 
chiropractic may solicit persons injured in motor 
vehicle collisions at any time through the use of 
posted communications such as letters, brochures, 
information packages and sound or video 
recordings. The words "This js an advertisement 
for chiropractic services" must appear on the 
communication's envelope or mailing container |n 
print large enough to be easily read. 

Statutory Authority 90-142; 90-154; 90-400. 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Psychology 
Board intends to adopt rules cited as 21 NCAC 54 
.1609 and .2007. 

1 he proposed effective date of this action is April 
1. 1994. 

1 he public hearing will be conducted at 3:00 
p.m. on January 26, 1994 at the Sheraton 
Crabtree Hotel, Board Room, Raleigh, NC 

IXeason for Proposed Action: 

21 NCAC 54 .1609 - set time period for 

termination of practice. 

21 NCAC 54 .2007 - set supervision requirements 

for non-licensees. 

(comment Procedures: Comments may be 
submitted in writing or in person at the public 
hearing or in uriting prior to February 3, 1994 to 
Martha Storie, Executive Director, N. C. 
Psychology Board, University Hall, Appalachian 
State University, Boone, N. C. 28608. 

tLditor's Note: These Rules were filed as 
temporary adoptions effective December 1, 1993 



for a period of 180 days or until the permanent 
rule becomes effective, whichever is sooner. 

CHAPTER 54 - BOARD OF 
PRACTICING PSYCHOLOGISTS 

SECTION .1600 - GENERAL 
PROVISIONS 

.1609 TERMINATION OF PRACTICE 

A licensee whose license is suspended or 
revoked, an applicant who is notified that he or 
she has failed an examination for the second time, 
an applicant who is notified that licensure is 
denied, or an applicant who discontinues the 
application process at any point, including failure 
to complete the process within the stipulated time 
period, must terminate the practice of psychology 
within a two week period and confirm such 
termination in writing to the Board. 

Statutory Authority G.S. 90-270. 4(h); 90-270.9. 

SECTION .2000 - SUPERVISION 

.2007 APPLICANTS AND OTHER 

NONLICENSED INDIVIDUALS 

(a) Applicants and individuals who have yet to 
apply shall not practice or offer to practice 
psychology without supervision. All activities 
comprising the practice of psychology are subject 
to review by a supervisor. A minimum of one 
hour per week of regularly scheduled face-to-face 
individual supervision is required. Supervision 
must be provided by an individual who may be 
recognized as an appropriate supervisor of 
licensees as defined in Rule .2001 of this Section. 

(b) An applicant or a nonlicensed individual who 
is not practicing or offering to practice psychology 
in North Carolina is not required to receive 
supervision. 

(c) An applicant must keep a written, notarized 
supervision contract form on file jn the Board's 
office at ajf times. A supervision contract form 
documents that either supervision fs required and 
being received, or that supervision js not required. 

(d) An initial supervision contract form must be 
filed along with the application form. A new 
supervision contract form is required to be filed 
within 30 days of a change in the conditions 
specified in the supervision contract form on file 
with the Board. 

(e) Supervision reports must be submitted at any 
time when the supervisor has concerns regarding 



1807 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



the supervisee's performance, upon termination of 
supervision, and when there is a change in the 
conditions specified in the supervision contract 
form on file with the Board. Additional 
monitoring and reporting to the Board may be 
required in cases where previous evaluations or 
other information (e.g. reference letters, ethical 
complaints, etc.) suggest possible problems jn the 
supervisee's competence or adherence to ethical 
standards. Additional documentation or an 
interview may be required when questions arise 
regarding the supervisee's practice due to 
information supplied or omitted on supervision 
contract forms and reports or when required forms 
are not filed with the Board. 

(f) Contract and report forms are provided by 
the Board. 

Statutory Authority G.S. 90-270. 5(c); 90-270.9. 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Certification 
Board for Social Work intends to amend rule cited 
as 21 NCAC 63 .0501; adopt rules cited as 21 
NCAC 63 .0503 - .0509. .0801 - .0809, .0820; 
and repeal rule cited as 21 NCAC 63 .0502. 

1 he proposed effective date of this action is 
March 1. 1994. 

1 he public hearing will be conducted at 10:00 - 
11:00 a.m. on January 14, 1994 at the Keyes 
Management, Inc. , 130 South Church St. , 
Asheboro, NC 27203. 

MXeason for Proposed Action: 

21 NCAC 63 .0501 - To establish disciplinary 

procedures for dealing with ethical violations. 

21 NCAC 63 .0502 - To repeal practice and 

conduct guidelines due to duplication in Rule 

.0501. 

21 NCAC 63 .0503 - .0509 - To establish a code 

of ethics governing ethical conduct for social work 

practice. 

21 NCAC 63 .0801 - .0809 - To establish 

disciplinary procedures for dealing with ethical 

violations. 

21 NCAC 63 .0820 - To establish disciplinary 

actions in dealing with disciplinary procedures 

pursuant to ethical violations. 



(comment Procedures: Persons wishing to present 
oral data, views or arguments on a proposed rule 
may file a notice with the Board at least 10 days 
prior to the public hearing at which the person 
wishes to speak. Comments should be limited to 
five minutes. The address of the Board is P. O. 
Box 1043. Asheboro, NC 27204. Written 
comments or arguments must be received by the 
Board not later than January 14, 1994. 

CHAPTER 63 - CERTIFICATION BOARD 
FOR SOCIAL WORK 

SECTION .0500 - CODE OF ETHICS 

.0501 PURPOSE AND SCOPE 

A — c e rtifi e d — social — work e r — shall — promot e 
professional policies and practic e s which enhance 
th e d e liv e r)' of social work s e rvices. 

(a) Ethical principles affecting the practice of 
social work are rooted in the basic values of 
society and the social work profession. The 
principal objective of the profession of social work 
is to enhance the dignity and well-being of each 
individual who seeks its services. It does so 
through the use of social work theory and 
intervention methods including psychotherapy. 

(b) The primary goal of this code is to set forth 
principles to guide social workers' conduct in their 
profession. Violation of these standards may be 
considered gross unprofessional conduct and may 
constitute dishonest practice or incompetence in the 
practice of social work. Such violations may 
result in disciplinary action by the Board. 

(c) The following ethical principles serve as a 
standard for social workers in their various 

roles, relationships and 
Social workers shall consider all 
the principles in the code that bear upon any 
situation on which ethical judgment is to be 
exercised, and to select a course of action 
consistent with the spirit as well as the letter of 
this code. 

(d) Upon approval of certification, each 
applicant shall review the Code of Ethics and 
return a signed statement to the Board agreeing to 
abide by these standards. 

Statutory Authority G. S. 90B-2. 

.0502 PRACTICE AND CONDUCT 

(a) The social work e r' s primary respon s ibility i s 
the welfar e of th e client. 

(b) A social work e r shall not discriminat e on th e 



professional 
responsibilities. 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1808 



PROPOSED RULES 



basis of age, s ex, race, color, religion, national 
origin, socio economic statu s or sexual preference. 

{e) — The social worker s hall carry out his/her 
profe s sional practice in a responsible manner and 
hold him/herself responsible for the quality of 
service he/she provides. 

fd} The — social — worker mu s t — recognize the 

boundaries of his/her competence and the limits of 

his/her — methods — and — technique s . The — social 

worker does not offer services nor u s e techniques 
without having appropriate profe ss ional education 
and training. 

(e) A social worker acts with integrity in regard 
te — colleagues — m — social — work — and — m — other 
profession s . 

{£) A social — worker does — not lend his/her 

professional expertise for unprofessional purposes. 
The — s ocial — worker docs — not place him/herself 

under — obligation — to persons, groups, ef 

organizations — m — ways — net — commensurate — whh 
professional values. 

{g) — Certified social worker s in the delivery of 
private social work s ervices shall not be required 
to disclose any information which they may have 
obtained — m — rendering — professional — social — work 
s ervice s , and which information wa s necessary to 
enable them to render s aid s ervices, except as 
required by law. 

Statutory Authority G. S. 8-53. 7; 90B-2. 

.0503 GENERAL PROFESSIONAL 
RESPONSIBILITIES 

(a) Social workers shall practice only within 
their sphere of competence. They shall accurately 
represent their abilities, education, training, and 
experience. They shall engage in continuing 
professional education to maintain and enhance 
their competence. 

(b) As employees of institutions or agencies, 
social workers are responsible for remaining alert 
to and attempting to moderate institutional 
pressures or policies that conflict with the 
standards of their profession. If such conflict 
arises, social workers' responsibility shall be to 
uphold the ethical standards of their profession. 

(c) Social workers shall not, in any of their 
capacities, practice, condone, facilitate or 
collaborate with any form of discrimination on the 
basis of race, sex, sexual orientation, age, 
religion, socioeconomic status, or national origin. 

(d) Social workers shall practice their profession 
in compliance with legal standards. 

(e) Social workers shall not engage in settlement 
agreements that preclude reporting of ethical 



misconduct to the Board. 

Statutory Authority G. S. 90B-2. 

.0504 RESPONSIBILITIES IN 

PROFESSIONAL RELATIONSHIPS 

(a) Social workers shall not misuse their 
professional relationships sexually, financially or 
for any other personal advantage. They shall 
maintain this standard of conduct toward all who 
are professionally associated with them such as 
clients, colleagues, supervisees, employees, 
students and research participants. 

(b) Social workers shall inform clients of the 
extent and nature of services available to them as 
well as the limits, right, opportunities and 
obligations associated with service which might 
affect the client's decision to enter into or continue 
the relationship. 

(c) Social workers shall obtain consent 
(agreement to participate in social work 
intervention) from all clients or their legally 
authorized representative except when laws require 
intervention to insure client's and community's 
safety and protection. 

(d) Social workers shall not terminate services 
except under extraordinary circumstances, giving 
careful consideration to factors affecting the 
situation and taking care to minimize possible 
adverse effects. The social worker who anticipates 
the interruption or termination of services to 
clients shall give reasonable notification and 
provide appropriate referral for continued service. 

(e) Social workers shall respect the integrity, 
protect the welfare, and maximize 
self-determination of clients they serve. They shall 
avoid entering treatment relationships in which 
their professional judgment will be compromised 
by prior association with or knowledge of a client. 
Examples include treatment of one's family 
members; close friends; associates; employees; or 
others whose welfare could be jeopardized by such 
a dual relationship. 

(f) Social workers shall not initiate, and shall 
avoid when possible, personal relationships or dual 
roles with current clients, or with any former 
clients whose feelings toward them may still be 
derived from or influenced by the former 
professional relationship. 

(g) Social workers shall not engage in sexual 
activities with clients. 

Statutory Authority G. S. 90B-2. 

.0505 RELATIONSHIPS WITH 



1809 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



PROPOSED RULES 



COLLEAGUES 

Social workers shall act with integrity in their 
relationships with colleagues and other 
professionals. They shall know the areas of 
competence of other professionals and shall 
cooperate with them in serving clients. 

(1) The social worker shall treat with respect 
and represent accurately the views, 
qualifications and findings of colleagues, 
and when expressing judgment on these 
matters shall do so fairly and through 
appropriate channels. 

(2) In referring clients, social workers shall 
refer to professionals who are recognized 
members of their own disciplines and are 
competent to carry out the services 
required. 

(3) If a social worker's services are sought 
by an individual who is already receiving 
similar services from another 
professional, consideration for the client's 
welfare shall be paramount. It requires 
the social worker to proceed with great 
caution, carefully considering both the 
existing professional relationship and the 
therapeutic issues involved. 

(4) Social workers shall accept their 
responsibility to provide competent 
professional guidance to colleagues, 
employees, and students. They shall 
foster working conditions that provide 
fairness, privacy and protection from 
physical or mental harm. They shall 
evaluate fairly the performance of those 
under their supervision, and share 
evaluations with supervisees. They shall 
not abuse the power inherent in their 
position. 

(5) Social workers shall take appropriate 
measures to discourage, prevent, expose 
and correct unethical or incompetent 
behavior by colleagues, but shall take 
equally appropriate steps to assist and 
defend colleagues unjustly charged with 
such conduct. 

Statutory Authority G. S. 90B-2. 

.0506 REMUNERATION 

(a) Financial arrangements shall be explicitly 
established and agreed upon by the social worker 
and the client in the initial stage of intervention. 

(b) Social workers shall not give or receive any 
fee or other consideration to or from a third party 
for referrals. 



(c) Social workers employed by an agency or 
clinic and also engaged in private practice shall 
conform to agency regulations regarding their dual 
role. 

(d) Legal measures to collect fees may be taken 
if a client does not pay for services as agreed, 
provided reasonable notice of such action is given 
beforehand. 

Statutory Authority G S. 90B-2. 

.0507 CONFIDENTIALITY AND RECORD 
KEEPING 

Social workers shall have a primary obligation to 
protect the client's right to confidentiality as 
established by law and professional standards of 
practice. 

(1) Social workers reveal confidential 
information to others only with the 
informed consent of the client, except in 
those circumstances in which not to do so 
would violate the law or would result in 
clear and imminent danger to the client 
or others unless specifically 
contraindicated by such situations, clients 
shall be informed and written consent 
shall be obtained from the client before 
confidential information is revealed. 

(2) When confidential information is used for 
the purpose of professional education, 
research, consultation, etc., the identity 
of the client shall be concealed. 
Presentations shall be limited to material 
necessary for the professional purpose. 

(3) Social workers shall maintain records 
adequate to provide proper diagnosis and 
treatment and to fulfill other professional 
responsibilities. 

Statutory Authority G S. 90B-2. 

.0508 PURSUIT OF RESEARCH AND 
SCHOLARLY ACTIVITIES 

In planning, conducting and reporting a study, 
the investigator has the responsibility to make a 
careful evaluation of its ethical acceptability, 
taking into account the following additional 
principles for research with human subjects. To 
the extent that this appraisal, weighing scientific 
and humane values, suggests a compromise of 
ethical principles, the investigator shall seek advice 
to protect the right of the research participants. 

(1) Social workers shall obtain appropriate 
authority to carry out the research and 
proper credit shall be given for the 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1810 



PROPOSED RULES 



m 



oi 



research conducted. 
An agreement shall 



be established 



Ml 



SSI 



16} 



between the investigator and the research 

participant clarifying their roles and 

responsibilities. 

The rights of an individual to decline to 

participate in or withdraw from the 

research shall be respected and the 

participant shall not be penalized for such 

action. 

The investigator shall inform the 

participant of all the features of the 

research that would affect his/her 

participation in the study. 

Information obtained about the participant 

during the course of the study shall be 

confidential unless informed consent for 

release of information is obtained in 

advance. 

shall be presented 
workers shall not 



Research finding 
accurately. Social 



distort or misrepresent research . 



Statutory Authority- G S. 90B-2. 

.0509 PUBLIC STATEMENTS 

Public statements, announcements of services and 
promotional activities of social workers serve the 
purpose of providing sufficient information to aid 
consumers in making informed judgments and 
choices. Social workers shall state accurately, 
objectively and without misrepresentation their 
professional qualifications, affiliations and 
functions as well as those of the institutions or 
organizations with which they or their statement 
may be associated. They shall correct the 
misrepresentations of others with respect to these 
matters. 

(1) In announcing availability for 
professional services, a social worker 
shall use his or her name, type and level 
of certification and licensure; and may 
use highest relevant academic degree 
from an accredited institution; specialized 
post-graduate training; address and 
telephone number; office hours; type of 
services provided; appropriate fee 
information; foreign languages spoken; 
and policy with regard to third-party 
payments. 

(2) Social workers shall not offer to perform 
any services beyond the scope permitted 
by law or beyond the scope of their 
competence. They shall not engage in 
any form of advertising which is false. 



fraudulent, deceptive, or misleading. 
They shall neither solicit nor use 
recommendations or testimonials from 
clients. 



(3) Social workers shall respect the right and 
reputations of professional organizations 
with which they are affiliated. They 
shall not falsely imply sponsorship or 
certification by such an organization. 
When making public statements, the 
social worker shall make clear which are 
personal opinions and which are 
authorized statements on behalf of the 
organization. 

Statutory Authority G S. 90B-2. 

SECTION .0800 - DISCIPLINARY 
PROCEDURES 

.0801 REPORTING COMPLAINTS 

(a) All complainants shall be sent (if name and 
address are available) a copy of the state's code of 
ethics and disciplinary procedures, informing them 
of their options for reporting an ethical violation. 

(b) There shall be two procedures for reporting 
violations: 

(1) Informal Reporting Procedure: 

(A) Anyone may anonymously or 
otherwise communicate a suspected 
violation on an informal "report only" 
basis. This report shall be submitted 
in writing. 

(B) After receiving an informal written 
complaint, the Board shall contact the 
social worker involved, note the 
reporting of a violation and outline 
the specific ethical standard brought 
to question. 

(C) Record of the complaint and all 
subsequent actions shall be retained in 
a separate administrative file and shall 
not be considered disciplinary actions, 
and shall not be a part of the 
licensee's file. 

(D) Depending on the number of prior 
complaints within a three-year period, 
specific follow-up interventions shall 
be initiated. Complaints do not have 
to involve the same ethical standard. 



ill 



First Complaint. The social 
worker shall be directly contacted 
by phone by a member of the 
Board, with a follow-up letter. 
The specific ethical violations 



1811 



8:18 



NORTH CAROLINA REGISTER 



December IS, 1993 



PROPOSED RULES 



raised by complainant shall be 
detailed. The social worker shall 
be encouraged to explore issues 
that may have led to the 



complaint, professional practices, 
and social work ethical standards, 
and to initiate corrective action if 
necessary. 
(ii) Second Complaint. The 

procedure in Subpart (b)(l)(D)(i) 
of this Rule shall be followed, and 
the social worker shall be 
encouraged to voluntarily develop 
an "intervention team" of two 
certified social work colleagues. 
This team shall work with the 
social worker to informally 
address complaint implications, 
potential professional liabilities, 
client impact, and possible 
corrective actions. A plan of 
action and follow-up reports shall 
be submitted to the Board. 

(iii) Third Complaint. The procedures 
in Subparts Cb)(l)(D)(i) and (ii) of 
this Rule are followed, and the 
social worker will receive strong 
recommendation to establish 
supervision or therapeutic 
intervention or both for possible 
impairment. 

(iv) Fourth Complaint. The Board 
shall call for whatever 
investigation is necessary and may 
call for either an informal 
conference or hearing. 
(2) Formal Reporting Procedure: 

(A) The complainant shall submit a formal 
written complaint on the Board's form 
outlining the specific violation and 
identifying the social worker 
involved. 

(B) The Board shall acknowledge receipt 
of the complaint and initiate an 
investigation. 

(C) The Board shall contact the social 
worker involved, note the reporting of 
a violation and outline the specific 
ethical standard brought to question. 

(D) Based on the investigation, if there fs 
credible evidence supporting the 
charges, a hearing shall be scheduled. 
If evidence is not credible the Board 
may at its discretion pursue informal 
procedures. 



IE) 



ia 



The disciplinary action hearing will 
follow the administrative procedures 
in Rule .0602 of this Chapter and 
G.S. 150B. 



The complainant and social worker 
shall be informed of the Board's final 
filing on the complaint and subsequent 
disciplinary actions. 



Statutory Authority G.S. 90B-6; 90B-11. 

.0802 CONFIDENTIALITY 

Every communication, oral or written, made by 
or on behalf of any person or entity to the North 
Carolina Certification Board for Social Work or to 
any person designated by the Board to investigate 
matters relating to disciplinary issues, whether by 
way of report, complaint, or statement, shall be 
treated in a confidential manner, within the 
provision of the Public Records Act NCCS 132. 

Statutory Authority G.S. 90B-6; 90B-1 1 . 

.0803 INVESTIGATION 

(a) Upon receipt of a formal complaint, or upon 
the Board's own initiative, the North Carolina 



Certification Board for Social Work, 



or 



its staff 
a certified 



designee(s) may investigate whether 

social worker has violated the Social Work 
Certification Act or the Administrative Code of the 
Board. 

fb) Any board member engaged in the 
investigation of a specific case shall not participate 
in ffie Board's adjudication of that case. 

Statutory Authority G.S. 90B-6; 90B-11. 

.0804 NOTICE OF HEARING AND 
CHARGES 

If an investigation produces any credible 
evidence to support the charge, a notice outlining 
the charges, date of proposed hearing, location of 
hearing, and other information (per G.S. 150B-38) 
shall be sent to the social worker. The social 
worker shall have the right to file a written 
response (per G.S. 150B-38). 

Statutory Authority G.S. 90B-6; 90B-11. 

.0805 INFORMAL CONFERENCE 

The Board may meet fn informal closed session 
with a social worker who seeks or agrees to such 
a conference in lieu of a formal disciplinary 
hearing. Disciplinary action taken against a 
licensee as a result of an informal closed session 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1812 



PROPOSED RULES 



conference and agreed to by the Board and the 
social worker shall be binding and a matter of 
public record. 

Statutory Authority G.S. 90B-6; 90B-1J. 

.0806 HEARINGS 

General hearings shall be conducted by a 
majority of the Board. The Chairperson shall 
serve as presiding officer unless he/she is absent or 
disqualified, in which case the Vice-Chairperson, 
or designee, shall preside. 

Statutory Authority G.S. 90B-6; 90B-11. 

.0807 DECISION OF THE BOARD 

The Board shall notify all parties of jts final 
decision in the manner prescribed by G.S. 
150B-42. 



Statutory Authority G.S. 90B-6; 90B-11. 

.0808 SUMMARY SUSPENSION 

Regardless of the status of the complaint, the 
Board may summarily suspend a social worker's 
certification according to the provisions of G.S. 
150B-3. If the Board Chairperson believes such 
prompt action is required, the Board may 
summarily suspend a license by means of a vote 
conducted by telephone, formal meeting, or 
correspondence. Proceedings for a formal hearing 
shall be instituted simultaneously with summary 
suspension, with a hearing date not to exceed 30 
days from the date of suspension. 

Statutory Authority G.S. 90B-6; 90B-11. 

.0809 THE PUBLIC RECORD 

The Board shall report all disciplinary actions 
through the Disciplinary Action Reporting System 
(PARS), the Federal Data Bank, and may report 
them to any requesting public or private entity. 
Disciplinary actions do not include complaints. 

Statutory Authority G.S. 90B-6; 90B-11. 

.0810 RESERVED FOR FUTURE 

CODIFICATION 
.08 1 1 RESERVED FOR FUTURE 

CODIFICATION 
.0812 RESERVED FOR FUTURE 

CODIFICATION 
.0813 RESERVED FOR FUTURE 

CODIFICATION 
.0814 RESERVED FOR FUTURE 



CODIFICATION 
.0815 RESERVED FOR FUTURE 

CODIFICATION 
.0816 RESERVED FOR FUTURE 

CODIFICATION 
.0817 RESERVED FOR FUTURE 

CODIFICATION 
.0818 RESERVED FOR FUTURE 

CODIFICATION 
.0819 RESERVED FOR FUTURE 

CODIFICATION 

.0820 DISCIPLINARY ACTIONS 

Board disciplinary actions may include the 
following: 



ill 



ill 



Oi 



14] 



i5j 



Letters of Concern. The Board may 
issue a letter of concern to a certified 
social worker stating that the Board has 
noted misconduct by the social worker. 
Examination. The Board may require a 
social worker to be examined orally or in 
writing regarding his/her social work 
skills and knowledge. 
Reprimand. Reprimand is a public re- 
buke and sanction by the Board for prac- 
tice misconduct. A reprimand typically 
is given for less severe offenses and may 
require specific follow-up actions by the 
social worker. 

Censure. Censure is an act involving 
severe condemnation and a sanction by 
the Board for practice misconduct. Cen- 
suring js typically for severe offenses and 
may require specific follow-up actions by 
the social worker. 

Probation. Probation is a stay of revoca- 
tion or suspension allowing limited prac- 
tice within preconditions established by 
the Board. Violations of these conditions 
can result in revocation. 



16} 



ill 



Suspension. Suspension is the withdraw- 
al of privilege to practice for a specific 
period of time. 

Revocation. Revocation [s the withdraw- 
al of privilege to practice as certified 
social worker in the State of North Caro- 



Statutory Authority G.S. 90B-6; 90B-11. 



1813 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



RRC OBJECTIONS 



1 he Rules Review Commission (RRC) objected to the following rules in accordance with G.S. 
143B-30.2(c). State agencies are required to respond to RRC as provided in G.S. 143B-30.2(d). 



ADMINISTRATION 

State Employees Combined Campaign 

1 NCAC 35 .0103 - Organization of the Campaign 

Agency Revised Rule 

AGRICULTURE 

North Carolina State Fair 

2 NCAC 20B .0106 - General 

Agency Revised Rule 

COMMERCE 

Banking Commission 

4 NCAC 31 .0305 - Issuance of Certificate of Registration 
Agency Re\'ised Rule 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management 

15A NCAC 7H .2002 - Approval Procedures 

Agency Responded 

No Action 
15 A NCAC 7H .2004 - General Conditions 

Agency Responded 

No Action 

Environmental Management 

15A NCAC 2D .0518 - Msc Volatile Organic Compound Emissions 

Agency Revised Rule 
15 A NCAC 2D .0948 - VOC Emissions from Transfer Operations 

Agency Revised Rule 
15 A NCAC 2L .0103 - Policy 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 

HUMAN RESOURCES 

Aging 



RRC Objection 
Obj. Removed 



11/18/93 
11/18/93 



RRC Objection 
Obj. Removed 



09/1 7/93 
10/21/93 



RRC Objection 
Obj. Removed 



10/21/93 
10/21/93 



RRC 


Objection 


09/17/93 


Obj. 


Contd 


10/21/93 


Obj. 


Cont d 


11/18/93 


RRC 


Objection 


09/17/93 


Obj. 


Cont d 


10/21/93 


Obj. 


Cont d 


11/18/93 



RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


09/17/93 


RRC Objection 


09/17/93 


Obj. Contd 


10/21/93 


Eff. 


11/04/93 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1814 



RRC OBJECTIONS 



10 NCAC 22G .0505 - Staffing 

Agency Revised Rule 
10 NCAC 22G .0506 - Congregate Site Requirements 

Agency Revised Rule 
10 NCAC 22G .0509 - Home-Delivered Meals Standards 

Agency Revised Rule 
10 NCAC 22G .0510 - Congregate Food Requirements 

Agency Revised Rule 
10 NCAC 22G .0514 - Administration Requirements 

Agency Revised Rule 
10 NCAC 22S .0102 - Withdrawal of Area on Aging Designation 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 
10/21/93 



Children's Services 

10 NCAC 41 R .0002 - Administration and Organization 
Agency Responded 
Rule Returned to Agency 
Agency Filed Rule for Codification Over RRC Objection 

Facility Services 



RRC Objection 07/15/93 

Obj. Cont'd 08/20/93 

Obj. Cont'd 09/17/93 

Eff. 10/01/93 



10 NCAC 3H .0108 - Definitions 
Agency Revised Rule 



RRC Objection 
Obj. Removed 



10/21/93 
10/21/93 



Mental Health: General 

10 NCAC 14A . 1603 recodified as 141] .0303 - Registered Nurse RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

10 NCAC 14A .1903 recodified as 14V .0603 - Space Requirements RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

10 NCAC 14A .2204 recodified as 14U .0904 - Treatment or Habilitation Plan RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

10 NCAC 14A .2208 recodified as 14V .0908 - Rel Planning /Res /Inpatient Svcs RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

10 NCAC 14A .2304 recodified as 14V .1004 - Testing Services RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

10 NCAC 14A .2404 recodified as 14V .1104 - Invol Admin I Psychotropic Med RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

INSURANCE 

Financial Evaluation Division 



11 NCAC 11H .0011 - Insolvency or Hazardous Financial Condition 
Agency Revised Rule 



RRC Objection 1 1 /1 8/93 
Obj. Cont'd 11/18/93 



Special Services Division 

11 NCAC 13 .0318 - Request for Cancellation Notice 
Agency Revised Rule 

JUSTICE 

Criminal Justice Education and Training Standards 



RRC Objection 1 1 II 8/93 
Obj. Removed 11/18/93 



1815 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



RRC OBJECTIONS 



12 NCAC 9A .0107 - Rule-Making and Administrative Hearing Procedures 

Agency Revised Rule 
12 NCAC 9B .0101 - Minimum Standards for Criminal Justice Officers 

Agency Rexnsed Rule 

Private Protective Services 

12 NCAC 7D .0108 - Law Enforcement Officers Special Provisions 

Sheriffs' Education and Training Standards Commission 

12 NCAC 10B .1003 - Basic Law Enforcement Certificate 
Agency Revised Rule 

LICENSING BOARDS AND COMMISSIONS 

Electrolysis Examiners 

21 NCAC 19 .0604 - Program Directors 

Agency Re\>ised Rule 
21 NCAC 19 .0611 - Identification of Students 

Agency Revised Rule 
21 NCAC 19 .0613 - Student /Teacher Ratio and Equipment 

Agency Revised Rule 

Foresters 

21 NCAC 20 .0020 - Certification of Consulting Foresters 

Agency Revised Rule 
21 NCAC 20 .0021 - Rejection of Consultant Affidavit 

Agency Revised Rule 
21 NCAC 20 .0022 - Handling of Complaints 

Agency Revised Rule 

Plumbing, Heating and Fire Sprinkler Contractors 

21 NCAC 50 .0506 - Minor Repairs and Alterations 
Agency Revised Rule 

Practicing Psychologists 

21 NCAC 54 .1605 - Fees 
Agency Re\'ised Rule 

Refrigeration Examiners 

21 NCAC 60 .0101 - Structure of Board 

Agency Repealed Rule 
21 NCAC 60 .0207 - Requirements for Examination Applicants 

Agency Revised Rule 

REVENUE 

Corporate Income and Franchise Tax 



RRC Objection 10/21/93 

Obj. Removed 10/21/93 

RRC Objection 10/21/93 

Obj. Removed 10/21/93 



RRC Objection 11/18/93 



RRC Objection 11/18/93 
Obj. Removed 11/18/93 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



10/21/93 
11/18/93 
10/21/93 
10/21/93 
10/21/93 
11/18/93 



09/17/93 
10/21/93 
09/17/93 
10/21/93 
09/17/93 
10/21/93 



RRC Objection 10/21/93 
Obj. Removed 10/21/93 



RRC Objection 11/18/93 
Obj. Removed 11/18/93 



RRC Objection 11/18/93 

Obj. Removed 11/18/93 

RRC Objection 1 1 II 8/93 

Obj. Removed 11/18/93 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1816 



RRC OBJECTIONS 



17 NCAC 5 C .0904 - The Term Employee 
Agency Repealed Rule 

STATE PERSONNEL 

Office of State Personnel 

25 NCAC ID .0308 - Salary Increases 

Agency Re\>ised Rule 
25 NCAC IE .0301 - Sick Leave Credits 

Agency Revised Rule 
25 NCAC IE .1102 - Maximum Amount 

Agency Revised Rule 
25 NCAC IE .1105 - Retention of Benefits 

Agency Revised Rule 

TRANSPORTATION 

Departmental Rules 

19A NCAC IB .0202 - Contents of Petition 

Agency Rexised Rule 
19A NCAC IB .0302 - Record of Hearing 

Agency- Re\ised Rule 

Deputy Secretary - Transit. Rail, and Aviation 

19A NCAC 6C .0112- Allowable Project Costs 

Agency Revised Rule 
19A NCAC 6C .0128 - State Aid to Airports Program Guidance Handbook 

Agency Repealed Rule 

Director of Administration 



RRC Objection 
Obj. Removed 



10/21/93 
10/21/93 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



11/18/93 
11/18/93 
11/18/93 
11/18/93 
11/18/93 
11/18/93 
11/18/93 
11/18/93 



RRC Objection 10/21/93 

Obj. Removed 10/21/93 

RRC Objection 10/21/93 

Obj. Removed 10/21/93 



RRC Objection 11/18/93 

Obj. Removed 11/18/93 

RRC Objection 11/18/93 

Obj. Removed 11/18/93 



19A NCAC 5B .0101 - Fiscal Section Operations RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

Division of Highways 

19A NCAC 2D .0403 - Use of Dust Allaying Materials RRC Objection 10/21/93 

Agency Revised Rule Obj. Removed 10/21/93 

19A NCAC 2D .0404 - Maintenance Within Municipalities RRC Objection 10/21/93 

Agency Re\ised Rule Obj. Removed 10/21/93 

19A NCAC 2D . 0405 - Examples of Construction and Maintenance Activities RRC Objection 10/21/93 

Agency Revised Rule Obj. Removed 10/21/93 

19 A NCAC 2D .0502 - Ticket Conditions RRC Objection 11/18/93 

Agency Revised Rule Obj. Removed 11/18/93 

19A NCAC 2D .0601 - Permits-Authority, Application and Enforcement RRC Objection 10/21/93 

Agency Revised Rule Obj. Removed 10/21/93 

19A NCAC 2D .0633 - Denial: Revocation: Refusal/Renew: Appeal: Invalidation RRC Objection 10/21/93 

Agency Rexised Rule Obj. Removed 10/21/93 

19 A NCAC 2D .0801 - Pre-Qualifying to Bid: Re qualification RRC Objection 09/17/93 

No Response from Agency Obj. Contd 10/21/93 

Agency Re\ised Rule Obj. Removed 11/18/93 

19A NCAC 2D .0802 - Invitation to Bid RRC Objection 09/17/93 



1817 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



RRC OBJECTIONS 



No Response from Agency 

Agency Revised Rule 
19A NCAC 2D .0803 - Advertisement and Invitations for Bids 

No Response from Agency 

Agency Revised Rule 
19A NCAC 2D .0821 - Return of Bid Bond or Bid Deposit 

No Response from Agency 

Agency Revised Rule 
19A NCAC 2E .0404 - Highway Obstructions Interfering /Traffic /Maintenance 

Agency Revised Rule 
19A NCAC 2E .0606 - Exceptions to the Policy 

Agency Repealed Rule 



Obj. 


Cont d 


10/21/93 


Obj. 


Removed 


11/18/93 


RRC 


Objection 


09/17/93 


Obj. 


Cont 'd 


10/21/93 


Obj. 


Removed 


11/18/93 


RRC 


Objection 


09/17/93 


Obj. 


Cont 'd 


10/21/93 


Obj. 


Removed 


11/18/93 


RRC 


Objection 


10/21/93 


Obj. 


Removed 


10/21/93 


RRC 


Objection 


11/18/93 


Obj. 


Removed 


11/18/93 



Division of Motor Vehicles 



19A NCAC 3B .0616 - Approval: Com School: Community College Instructors 

Agency Revised Rule 
19 A NCAC 3B .0620 - Grounds for Revocation or Denial of Certification 
19A NCAC 3B .0621 - Denial /Revocation: Company Examiner: Instructor Cert. 
19A NCAC 3C .0223 - Registration: Motor Homes: Etc. 

Rule Returned to Agency for Failure to Comply with APA 
19A NCAC 3C .0436 - Highway Use Tax 
19A NCAC 3C .0521 - Taxicab 

Agency Revised Rule 
19A NCAC 3G .0205 - Issuing of Original Certificate 
19A NCAC 31 .0505 - Confidentiality 



RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


RRC Objection 


11/18/93 




11/18/93 


RRC Objection 


11/18/93 


RRC Objection 


11/18/93 


Obj. Removed 


11/18/93 


RRC Objection 


11/18/93 


RRC Objection 


11/18/93 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1818 



RULES INVALIDATED BY JUDICIAL DECISION 



1 his Section of the Register lists the recent decisions issued by the North Carolina Supreme Court, 
Court of Appeals, Superior Court (when available), and the Office of Administrative Hearings which 
invalidate a rule in the North Carolina Administrative Code. 



1 NCAC 5A .0010 - ADMINISTRATIVE PROCEDURES 

Thomas R. West, Administrative Law Judge with the Office of Administrative Hearings, declared two portions 
of Rule 1 NCAC 5A .0010 void as applied in Stauffer Information Systems, Petitioner v. The North Carolina 
Department of Community Colleges and The North Carolina Department of Administration , Respondent and 
The University of Southern California, Intervenor-Respondent (92 DOA 0666). 

10 NCAC 3H .0315(b) - NURSING HOME PATIENT OR RESIDENT RIGHTS 

Dolores O. Nesnow. Administrative Law Judge with the Office of Administrative Hearings, declared Rule 10 
NCAC 3H .0315(b) void as applied in Barbara Jones, Petitioner v. North Carolina Department of Human 
Resources, Division of Facility Services, Licensure Section, Respondent (92 DHR 1192). 

10 NCAC 3R .1124(f) - ACCESSIBILITY TO SERVICES 

Beecher R. Gray, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 10 
NCAC 3R .1124(f) void as applied in Britthaven, Inc. d/b/a Britthaven of Morganton, Petitioner v. N.C 
Department of Human Resources, Division of Facility Services, Certificate of Need Section, Respondent and 
Valdese Nursing Home, Inc., Respondent-Intervenor (92 DHR 1785). 

15A NCAC 30 .0201(a)(1)(A) - STDS FOR SHELLFISH BOTTOM & WATER COLUMN LEASES 

Julian Mann III, Chief Administrative Law Judge with the Office of Administrative Hearings, declared Rule 
15A NCAC 30 .0201(a)(1)(A) void as applied in William R. Willis, Petitioner v. North Carolina Division of 
Marine Fisheries, Respondent (92 EHR 0820). 

15A NCAC 19A .0202(d)(10) - CONTROL MEASURES - HIV 

Brenda B. Becton, Administrative Law Judge with the Office of Administrative Hearings, declared Rule 15A 
NCAC 19A .0202(d)(10) void as applied in ACT-UP TRIANGLE (AIDS Coalition to Unleash Power Triangle), 
Ste\'en Harris, and John Doe, Petitioners v. Commission for Health Services of the State of North Carolina, 
Ron Levine, as Assistant Secretary of Health and State Health Director for the Department of Environment, 
Health, and Natural Resources of the State of North Carolina, William Cobey, as Secretary of the Department 
of Environment, Health, and Natural Resources of the State of North Carolina, Dr. Rebecca Meriwether, as 
Chief Cotmnunicable Disease Control Section of the North Carolina Department of Environment , Health, and 
Natural Resources, Wayne Bobbin Jr. , as Chief of the HIV/STD Control Branch of the North Carolina 
Department of Environment, Health, and Natural Resources, Respondents (91 EHR 0818). 



1819 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions 
along with an index to all recent contested cases decisions which are filed under North Carolina's 
Administrative Procedure Act. Copies of the decisions listed in the index and not published are available 
upon request for a minimal charge by contacting the Office of Administrative Hearings, (919) 733-2698. 



ACKNt v 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



ADMINISTRATION 

LMS Express, Inc. v. Administration, Div of Purchase & Contract 
Stauffer Information Systems v. Community Colleges & Administration 
McLaurin Parking Co. v. Administration 
Warren H. Arrington Jr. v. Division of Purchase & Contract 
Travel, Incorporated v. Administration 

ALCOHOLIC BEVERAGE CONTROL COMMISSION 



92 DOA 0735 


Morgan 


06/04/93 




92 DOA 0803 


West 


06/10/93 


8:7 NCR 613 


92 DOA 1662 


Morrison 


04/02/93 


8:3 NCR 320 


93 DOA 0132 


West 


07/21/93 




93 DOA 0362 


Nesnow 


11/08/93 





Alcoholic Beverage Control Comm. v. Ann Oldham McDowell 
Curtis Ray Lynch v. Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. v. Ezra Everett Rigsbee 
Alcoholic Beverage Control Comm. v. Partnership, Phillip Owen Edward 
Alcoholic Beverage Control Comm. v. Gary Morgan Neugent 
Alcoholic Beverage Control Comm. v. Azzat Aly Amer 
Alcoholic Beverage Control Comm. v. Kirby Ronald Eldric^e 
Alcoholic Beverage Control Comm. v. Gloria Black McDuffie 
Alcoholic Beverage Control Comm. v. Larry Isacc Hailstock 
Alcoholic Beverage Control Comm. v. Anthony Ralph Cecchini Jr. 
Johnnie L. Baker v. Alcoholic Beverage Control Commission 
RAMSAC Enterprises, Inc. v. Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. v. Aubrey Rudolph Wallace 
Alcoholic Beverage Control Comm. v. Mermaid, Inc. 
Alcoholic Beverage Control Comm. v. Majdi Khalid Wahdan 
Cornelius Hines T/A Ebony Lounge v. Alcoholic Beverage Ctl. Comm. 
Alcoholic Beverage Control Comm. v. Homer Patrick Godwin Jr. 
Alcoholic Beverage Control Comm. v. Wanda Lou Ball 
Charles Anthonious Morant v. Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. v. Billy Fincher McSwain Jr. 
Jean Hoggard Askew v. Alcoholic Beverage Control Commission 
ABC Comm. v. Partnership /T/A Corrothers Comty Ctr & Private Club 
Alcoholic Beverage Control Comm. v. James Elwood Alphin 
Alcoholic Beverage Control Comm. v. James William Campbell 
Alcoholic Beverage Control Comm. v. Sydner Jan Mulder 
Barbara Locklear v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Partnership, T/A Hawk's 
Alcoholic Beverage Control Com. v. Thomas Andrew Reid 
Zachary Andre Jones v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Mack Ray Chapman 
Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. 
Alcoholic Beverage Control Comm. 
William Vernon Franklin & Gene Carroll Daniels v. ABC Commission 
Alcoholic Beverage Control Comm. v. Joseph Adu 
Alcoholic Beverage Control Comm. v. Citizens Fuel Company 
Alcoholic Beverage Control Comm. v. Citizens Fuel Company 
Alcoholic Beverage Control Comm. v. Mohammad Salim Pirini 
Linda R. Cunningham v. Alcoholic Beverage Control Commission 
Charles Edward Hare, Club Paradise v. Alcoholic Beverage Ctl. Comm. 
Alcoholic Beverage Control Comm. v. Jerome Hill T/A Corner Pocket 
Aleohlic Beverage Control Comm. v. Partnership t/a RJ's Store 
Alcoholic Bev. Control Comm. v. Mild & Wild, Inc., Sheila Scholz 



Landing 



Bistro Enterprises, Inc. 
Richard Donald James Jr. 
George Oliver O'Neal 1TJ 
The Sideline of Wilmington, Inc. 



92 ABC 0260 


Morgan 


04/01/93 




92 ABC 0288 


Gray 


05/18/93 




92 ABC 0702 


West 


07/30/93 




92 ABC 0978 


Gray 


05/28/93 




92 ABC 1086 


Becton 


03/22/93 




92 ABC 1149 


Reilly 


09/01/93 




92 ABC 1153 


Chess 


04/26/93 




92 ABC 1476 


West 


05/26/93 




92 ABC 1483 


Reilly 


04/07/93 




92 ABC 1690 


Morgan 


06/29/93 




92 ABC 1735 


Chess 


05/07/93 




93 ABC 0002 


Morrison 


07/02/93 




93 ABC 0047 


Gray 


05/28/93 




93 ABC 0076 


Gray 


08/04/93 




93 ABC 0087 


Becton 


07/06/93 


8:9 NCR 785 


93 ABC 0118 


Morrison 


08/04/93 




93 ABC 0125 


Reilly 


05/13/93 




93 ABC 0182 


Nesnow 


07/29/93 




93 ABC 0232 


Chess 


07/20/93 




93 ABC 0239 


Gray 


08/26/93 




93 ABC 0255 


West 


09/10/93 




93 ABC 0318 


Reilly 


07/22/93 




93 ABC 0326 


Gray 


08/26/93 




93 ABC 0327 


Gray 


08/09/93 




93 ABC 0354 


Morgan 


11/10/93 


8:17 NCR 1712 


93 ABC 0395 


West 


09/14/93 




93 ABC 0407 


Becton 


10/18/93 




93 ABC 0408 


Gray 


11/01/93 




93 ABC 0421 


West 


09/13/93 




93 ABC 0423 


Gray 


09/17/93 




93 ABC 0430 


Reilly 


10/07/93 




93 ABC 0431 


Nesnow 


09/01/93 




93 ABC 0433 


Morgan 


11/01/93 


8:16 NCR 1553 


93 ABC 0462 


Becton 


10/27/93 




93 ABC 0570 


Reilly 


09/17/93 




93 ABC 0601 


Nesnow 


10/28/93 


8:16 NCR 1560 


93 ABC 0611 


West 


10/12/93 




93 ABC 0613 


West 


10/11/93 




93 ABC 0616 


West 


10/13/93 




93 ABC 0633 


Morrison 


11/03/93 




93 ABC 0644 


Gray 


08/10/93 




93 ABC 0672 


Gray 


11/23/93 




93 ABC 0860 


Mann 


09/29/93 




93 ABC 1475 


Nesnow 


03/23/93 





8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1820 



CONTESTED CASE DECISIONS 



AGENCY 



COMMERCE 

Lester Moore v. Weatherization Assistance Program 

CRIME CONTROL AND PUBLIC SAFETY 

George W. Paylor v. Crime Victims Compensation Comm. 
Steven A. Barner v. Crime Victims Compensation Comm. 
Anthony L. Hart v. Victims Compensation Comm. 
Jennifer Ayers v. Crime Victims Compensation Comm. 
Janie L. Howard v. Crime Victims Compensation Comm. 
Isabelle Hyman v. Crime Victims Compensation Comm. 
James G. Pellom v. Crime Control & Public Safety 
Norman E. Brown v. Victims Compensation Commission 
Moses H. Cone Mem Hosp v. Victims Compensation Comm. 
David & Jane Spano v. Crime Control & Public Safety 
Phillip Edward Moore v. Crime Control & Public Safety 
Norma Jean Purkett v. Crime Victims Compensation Comm. 
Sheila Carter v. Crime Control and Public Safety 
John Willie Leach v. Crime Victims Compensation Comm. 
Nellie R. Mangum v. Crime Victims Compensation Comm. 
Constance Brown v. Crime Victims Compensation Comm. 
Susan Coy v. Crime Victims Compensation Commission 

ENVIRONMENT. IIEAJTH. AND NATURAL RESOURCES 

Charles L. Wilson v. Environment, Health, & Natural Resources 
J. Bruce Mulligan v. Environment, Health, & Natrual Resources 
Michael D. Barnes v. Onslow Cty Hlth & Environment and EHR 
William E. Finck v. Environment, Health, & Natural Resources 
Utley C. Stallings v. Environment, Health, & Natural Resources 
Dora Mae Blount on behalf of Joseph T. Midgette v. Hyde Cty 

Bd/Commissioners. Hyde Cty Bd/Health, & Environment, 

Health, & Natural Resources 
A.J. Ballard Jr.. Tire & Oil Co., Inc. v. Env., Health, & Nat. Res. 
Safeway Removal, Inc. v. Environment, Health, & Natural Res. 
White Oak Chapter of the Izaak Walton League, Inc., and 

National Parks and Conservation Association, Inc. v. 

Division of Solid Waste Management, EHR and Haywood County 
Southchem, Inc. v. Environment, Health, & Natural Resources 
Elizabeth City/Pasu,uotank Cty Mun Airport Auth v. EHNR 
W.E. Moulton & Wife, Evelyn Moulton v. Macon County Health Dept. 
Interstate Brands Corp & Donald Leffew v. Env., Health, & Nat. Res. 
Service Oil Company v. Environment, Health, &. Natural Resources 
Interstate Brands Corp & Donald Letfew v. Env., Health, & Nat. Res. 
Residents of Camm & Shell v. Health Environmental - Septic Tank Div. 
City of Salisbury v. Environment, Health, & Natural Resources 
Willie M. Watford v. Hertford Gates District Health Department 
Standard Speciality Contractors, Inc. v. EHNR 
Shawqi A. Jaber v. Environment, Health, & Natural Resources 
McLeod Leather & Belting Co., Inc. v. Env., Health, & Natural Res. 
Angela Power, Albert Power v. Children's Special Health Svcs. 
Rayco Utilities, Inc. v. Environment, Health, & Natural Resources 
Erby Lamar Grainger v. Environment, Health, & Natural Resources 
Mustafa E. Essa v. Environment, Health, & Natural Resources 
A.J. Holt v. Public Water Supply Section, Div. of Environmental Health 
Charlie Garfield McPherson Swine Farm v. Env., Health, &. Nat. Res. 
Keith Cutler, Kathryn Cutler v. Environment, Health, & Natural Res. 
Rosetta Brimage, Vanessa Pack v. Env. Health of Craven County 
R.L. Stowe Mills, Inc. v. Environment, Health, &. Natural Resources 
O.C. Stafford/Larry Haney v. Montgomery Cty. Health Dept. 
Patricia Y. Marshall v. Montgomery Cty Health Dept. & EHR 
Fred M. Grooms v. Environment, Health, &. Natural Resources 
Bobby Anderson v. Environment, Health, & Natural Resources 



CASE 
NUMBER 



ALJ 



93 COM 0105 Gray 



DATE OF 

DECISION 



03/08/93 



91 CPS 12S6 


Morgan 


04/27/93 


92 CPS 0453 


Nesnow 


06/01/93 


92 CPS 0937 


Chess 


03/01/93 


92 CPS 1195 


Reilly 


03/19/93 


92 CPS 17S7 


Reilly 


03/26/93 


92 CPS 1807 


Morrison 


05/24/93 


93 CPS 0034 


Gray 


05/05/93 


93 CPS 0141 


West 


07/07/93 


93 CPS 0152 


Nesnow 


04/02/93 


93 CPS 0160 


Nesnow 


07/30/93 


93 CPS 0169 


Nesnow 


05/20/93 


93 CPS 0205 


West 


08/27/93 


93 CPS 0249 


Morgan 


08/25/93 


93 CPS 0263 


Morrison 


05/20/93 


93 CPS 0303 


Morrison 


06/08/93 


93 CPS 0351 


Reilly 


05/24/93 


93 CPS 0623 


Reilly 


09/22/93 



91 EHR 0664 


Morgan 


03/23/93 


91 EHR 0773 


West 


07/13/93 


91 EHR 0825 


Morgan 


06/21/93 


92 EHR 0040 


Gray 


06/14/93 


92 EHR 0062 


Gray 


03/15/93 


92 EHR 0400 


Gray 


10/15/93 


92 EHR 0754 


Nesnow 


08/30/93 


92 EHR 0826 


West 


03/12/93 


92 EHR 0881 


West 


09/14/93 


92 EHR 0925 


Chess 


11/08/93 


92 EHR 1140 


Gray 


04/13/93 


92 EHR 1144 


Morgan 


11/15/93 


92 EHR 1201*" 


Reilly 


08/12/93 


92 EHR 1205 


Reilly 


05/27/93 


92 EHR 1224*" 


Reilly 


08/12/93 


92 EHR 1462 


Morrison 


08/25/93 


92 EHR 1472 


Morrison 


04/22/93 


92 EHR 1600 


Chess 


03/24/93 


92 EHR 1660 


Reilly 


05/21/93 


92 EHR 1784 


Becton 


07/07/93 


93 EHR 0003 


Morgan 


10/11/93 


93 EHR 0008 


Becton 


03/24/93 


93 EHR 0063 


Morrison 


09/17/93 


93 EHR 0071 


Reilly 


06/21/93 


93 EHR 0146 


Gray 


03/29/93 


93 EHR 0168 


West 


10/25/93 


93 EHR 0181 


Reilly 


07/23/93 


93 EHR 0185 


Morrison 


10/20/93 


93 EHR 0206 


Nesnow 


05/20/93 


93 EHR 0219 


Morrison 


08/11/93 


93 EHR 0224 


Gray 


06/07/93 


93 EHR 0252 


Gray 


10/22/93 


93 EHR 0276 


West 


08/27/93 


93 EHR 0299 


Reilly 


06/07/93 



PUBLISHED DECISION 
REGISTER CITATION 



t 



8:3 NCR 327 
8:10 NCR 862 



8:12 NCR 1171 



8:1 NCR 83 



8:15 NCR 1503 



8:10 NCR 870 



8:11 NCR 996 



8:12 NCR 1176 



I 



* Consolidated cases. 



1821 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CONTESTED CASE DECISIONS 



AGENCY 



Shell Bros. Dist., Inc. v. Environment, Health, &. Natural Resources 

Fred C. Gosnell & wife, Patricia T. Gosnell v. Env., Health, & Nat. Res. 

Holding Bros., Inc. v. Environment, Health, &. Natural Resources 

Tony Tomson, Diane Clase &. William J. Stevenson v. EHR 

Tony Tomson, Diane Clase & William J. Stevenson v. EHR 

Hamilton Beach/Proctor-Silex, Inc. v. Environment, Health, & Natrl Res 

Tony Worrell v. Environment, Health. & Natural Resources 

L. Terry Fuqua v. Environment, Health, & Natural Resources 

Seth B. Gaskill Jr. v. N.C. Coastal Resources Commission 

Richaid L. Goodman v. Environment, Health, & Natural Resources 

Monroe Gaskill v. DEHNR-Div. of Coastal Management 

Lanny Clifton, Southwind Dev., Co. v. Div. of Environmental Mgmt. 

Blue Ridge Env. Defense League, Inc. v. Env., Health, & Natrl Res 

HUMAN RELATIONS COMMISSION 

Human Relations Comm. on behalf of Tyrone Clark v. Myrtle Wilson 
Human Relations Comm. on behalf of Marsha Crisco v. Hayden Morrison 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


93 EHR 0308 


Becton 


05/18/93 


93 EHR 0340 


Becton 


08/11/93 


93 EHR 0380 


Nesnow 


08/03/93 


93 EHR 0466* 12 


Reilly 


11/30/93 


93 EHR 0467* 12 


Reilly 


11/30/93 


93 EHR 0477 


Reilly 


06/29/93 


93 EHR 0587 


Morgan 


11/08/93 


93 EHR 0624 


Reilly 


11/08/93 


93 EHR 0635 


Nesnow 


11/18/93 


93 EHR 0783 


Reilly 


11/24/93 


93 EHR 0802 


Chess 


10/13/93 


93 EHR 0848 


Becton 


10/20/93 


93 EHR 0862 


Nesnow 


10/11/93 



92 HRC 0560 

93 HRC 0167 



Becton 
Reilly 



09/07/93 
08/18/93 



PUBLISHED DECISION 
REGISTER CITATION 



8:11 NCR 1001 



:13 NCR 1287 
:12 NCR 1168 



HUMAN RESOURCES 



O.C. Williams v. Human Resources 

Ronald Terry Brown v. Human Resources 

Dermis K. King v. Human Resources 

Cathy Harris, A/K/A Cathy D. Grubb v. Human Resources 

Raymond L. Griffin v. Human Resources 

O.C. Williams v. Human Resources 

Michael L. Ray v. Human Resources 

Randy Chambliss v. Human Resources 

Melvin White v. Human Resources 

Joseph R. Kavaliauskas Jr. v. Human Resources 

Larry D. Boyd v. Human Resources 

Jefferson D. Boylen v. Human Resources 

Jeffery D. Williams v. Human Resources 

Jerry L. Summers v. Human Resources 

Samuel E. Massenberg Jr. v. Human Resources 

William A. Dixon v. Human Resources 

Gregory L. Washington v. Human Resources 

Edwin Clarke v. Human Resources 

Dwayne Allen v. Human Resources 

Edwin Ivester v. Human Resources 

Connie E Epps, Otis Junior Epps v. Human Resources 

Tyrone Aiken v. Human Resources 

Everett M. Eaton v. Human Resources 

Eugene Johnson v. Human Resources 

Edward E. Brandon v. Human Resources 

James Sisk Jr. v. Human Resources 

Darrell W. Russell v. Human Resources 

John Henry Byrd v. Human Resources 

Michelle D. Mobley v. Human Resources 

Gus W. Long Jr. v. Human Resources 

Robert E. Watson v. Human Resources 

Byron Christopher Williams v. Human Resources 

Elijah G. Deanes v. Human Resources 

James W. Bell v. Human Resources 

Charles W. Stall Jr. v. Human Resources 

Eric Stanley Stokes v. Human Resources 

Clayton L. Littleton v. Human Resources 

Frank E. Johnson v. Human Resources 

David Rollins v. Human Resources 

Willie Sam Brown v. Human Resources 

Lyndell Greene v. Human Resources 

Charles Swann v. Human Resources 

Joe B. Reece v. Human Resources 

Michael Anthony Dean v. Human Resources 

Gregory W Alford v. Human Resources 

Leroy Snuggs v. Human Resources 

James P. Miller lU v. Human Resources 



91 CSE 0036* 2 


Morgan 


03/30/93 


91 CSE 0249 


Morgan 


05/17/93 


91 CSE 1122 


Morgan 


07/28/93 


91 CSE 1131 


Morgan 


08/24/93 


91 CSE 1148 


Morgan 


08/24/93 


91 CSE 1 158*- 


Morgan 


03/30/93 


91 CSE 1173 


Morgan 


05/17/93 


91 CSE 1187 


Morgan 


04/28/93 


91 CSE 1192 


Morgan 


05/17/93 


91 CSE 1204 


Morgan 


07/29/93 


91 CSE 1214 


Morgan 


08/24/93 


91 CSE 1217 


Morgan 


05/17/93 


91 CSE 1231 


Morgan 


04/28/93 


91 CSE 1234 


Morgan 


07/28/93 


91 CSE 1249 


Morgan 


05/17/93 


91 CSE 1277 


Morrison 


03/04/93 


92 CSE 0075 


Morgan 


04/01/93 


92 CSE 0129 


Morgan 


05/17/93 


92 CSE 0196 


Morgan 


03/31/93 


92 CSE 0268 


Nesnow 


03/30/93 


92 CSE 1182 


Reilly 


07/22/93 


92 CSE 1217 


Gray 


06/17/93 


92 CSE 1221 


Reilly 


07/27/93 


92 CSE 1229 


Nesnow 


11/16/93 


92 CSE 1237 


Gray 


04/16/93 


92 CSE 1238 


Reilly 


11/17/93 


92 CSE 1249 


Becton 


04/20/93 


92 CSE 1250 


Reilly 


06/04/93 


92 CSE 1256 


Nesnow 


04/15/93 


92 CSE 1263 


Gray 


08/16/93 


92 CSE 1265 


Reilly 


05/06/93 


92 CSE 1270 


Nesnow 


04/26/93 


92 CSE 1273 


Nesnow 


11/17/93 


92 CSE 1311 


Nesnow 


05/10/93 


92 CSE 1313 


Mann 


07/06/93 


92 CSE 1316* 5 


Reilly 


03/25/93 


92 CSE 1317 


Morrison 


09/02/93 


92 CSE 1326 


Reilly 


08/16/93 


92 CSE 1334 


Morrison 


05/06/93 


92 CSE 1338 


Morrison 


09/15/93 


92 CSE 1346 


Nesnow 


04/16/93 


92 CSE 1347 


West 


09/16/93 


92 CSE 1355 


Mann 


10/12/93 


92 CSE 1356 


Morrison 


08/13/93 


92 CSE 1358 


Gray 


10/18/93 


92 CSE 1360 


Morrison 


04/15/93 


92 CSE 1361 


Gray 


04/16/93 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1822 



CONTESTED CASE DECISIONS 



AGENCY 



Herbert H. Fordham v. Human Resources 
Jack Dulq v. Human Resources 
Jesse B. Williams v. Human Resources 
Johnny Victor Debity v. Human Resources 
Larry L. Crowder v. Human Resources 
Carlos Bernard Davis v. Human Resources 
Ocie C. Williams v. Human Resources 
Terra nee Freeman v. Human Resources 
Floyd Exeell Stafford v. Human Resources 
Timothy Brian Ellerv, Human Resources 
Charles S. Ferrer v. Human Resources 
Ronald H. Lockley v. Human Resources 
Rene Thomas Rittenhouse v. Human Resources 
Thomas Edward Williamson v. Human Resources 
Roy Chester Robinson v. Human Resources 
Lvnwood McCHnton v. Human Resources 
Timothy Scott Long v. Human Resources 
David W. Williams v. Human Resources 
William E. Ingram v. Human Resources 
Harold R. Pledger v. Human Resources 
Carl Beard v. Human Resources 
Henry Alston Jr. v. Human Resources 
Gary Lewis Doster v. Human Resources 
Raymond L. Head v. Human Resources 
Mark R. Charles v. Human Resources 
Michael W. Bentley v. Human Resources 
Robert D. Knoll Jr. v. Human Resources 
Dale Robert Stuhre v. Human Resources 
James T. Carter Jr. v. Human Resources 
Tommy Malone v. Human Resources 
James C. Dixon Jr. v. Human Resources 
Timothy R. Currence v. Human Resources 
W'ardell Walker v. Human Resources 
Wallace M. Cooper v. Human Resources 
Jarvis N. Price v. Human Resources 
Thomas L. Yates v. Human Resources 
Cleamce Ray Taylor v. Human Resources 
Robert E. Tarlton Sr. v. Human Resources 
Rodney Devard Clemons v. Human Resources 
James A. Coleman v. Human Resources 
Lee Richard Jones v. Human Resources 
Romeo F Skapple v. Human Resources 
Terrial W. Mayberry v. Human Resources 
Jeffrey L. Garrett v. Human Resources 
Edward Kirk v. Human Resources 
William C. Hubbard v. Human Resources 
William Michael Przybysz v. Human Resources 
Kevin Keith Wit more v. Human Resources 
Edward Fitch v. Human Resources 
David Robinette v. Human Resources 
Kit C. Elmore v. Human Resources 
Brian C. Gilmore v. Human Resources 
Philip S. Piercy v. Human Resources 
Anthony McLaughlin v. Human Resources 
Johnny W. Cooke v. Human Resources 
Roland L. Essaffv. Human Resources 
Isaac Maxwell v. Human Resources 
Donald J. Ray v. Human Resources 
Barbara A. Chaperon v. Human Resources 
Kenneth Eugene Johnson v. Human Resources 
Derrick Carter v. Human Resources 
Charles Wayne Pierce v. Human Resources 
Gregory L. Vernoy v. Human Resources 
Donna G. Knotts v. Human Resources 
Robert Jerome Sutton v. Human Resources 
Donald R. Williams v. Human Resources 
McKinley Clyburn v. Human Resources 
Henry L. Taylor v. Human Resources 



CASE 




DATE OF 


NUMBER 


■ M..I 


DECISION 


92 CSE 


1362 


Nesnow 


07/19/93 


92 CSE 


1374 


Gray 


07/16/93 


92 CSE 


1389 


Nesnow 


10/12/93 


92 CSE 


1393 


Mann 


11/15/93 


92 CSE 


1396 


Reilly 


04/15/93 


92 CSE 


1404 


Reilly 


04/15/93 


92 CSE 


1405 


Mann 


06/25/93 


92 CSE 


1411 


Mann 


06/07/93 


92 CSE 


1412 


Reilly 


08/31/93 


92 CSE 


1414 


Reilly 


04/20/93 


92 CSE 


1416 


Mann 


04/15/93 


92 CSE 


1418 


Nesnow 


04/20/93 


92 CSE 


1421 


Nesnow 


04/20/93 


92 CSE 


1422 


Reilly 


04/20/93 


92 CSE 


1423 


Reilly 


04/15/93 


92 CSE 


1424 


Reilly 


09/15/93 


92 CSE 


1445 


Becton 


06/29/93 


92 CSE 


1448 


Nesnow 


07/19/93 


92 CSE 


1450 


Reilly 


04/15/93 


92 CSE 


1455 


Morrison 


05/20/93 


92 CSE 


1459 


Reilly 


09/08/93 


92 CSE 


1460 


Becton 


06/29/93 


92 CSE 


1461 


Morrison 


10/21/93 


92 CSE 


1510 


Mann 


11/18/93 


92 CSE 


1511 


Becton 


11/17/93 


92 CSE 


1512 


Nesnow 


06/09/93 


92 CSE 


1515 


Nesnow 


11/17/93 


92 CSE 


1516 


Reilly 


05/11/93 


92 CSE 


1517 


Mann 


08/31/93 


92 CSE 


1520 


Mann 


05/07/93 


92 CSE 


1522 


Becton 


05/11/93 


92 CSE 


1523 


Reilly 


09/09/93 


92 CSE 


1524 


Reilly 


10/12/93 


92 CSE 


1527 


Reilly 


05/11/93 


92 CSE 


1531 


Morrison 


05/12/93 


92 CSE 


1535 


Gray 


05/10/93 


92 CSE 


1538 


Morrison 


11/18/93 


92 CSE 


1536 


Gray 


05/17/93 


92 CSE 


1539 


Gray 


05/10/93 


92 CSE 


1540 


Reilly 


05/11/93 


92 CSE 1541 


Reilly 


09/08/93 


92 CSE 


1545 


Gray 


04/26/93 


92 CSE 


1546 


Reilly 


10/12/93 


92 CSE 


1557 


Gray 


04/22/93 


92 CSE 


1560 


Gray 


06/29/93 


92 CSE 


1562 


Mann 


05/12/93 


92 CSE 


1565 


Becton 


07/23/93 


92 CSE 


1566 


Reilly 


11/01/93 


92 CSE 


1572 


Reilly 


05/11/93 


92 CSE 


1573 


Mann 


07/14/93 


92 CSE 


1575 


Gray- 


07/16/93 


92 CSE 


1576 


Gray 


04/26/93 


92 CSE 


1577 


Gray 


07/16/93 


92 CSE 


15S2 


Gray 


06/29/93 


92 CSE 1585 


Becton 


05/11/93 


92 CSE 


1588 


Morrison 


07/26/93 


92 CSE 


1589 


Reilly 


04/26/93 


92 CSE 


1592 


Mann 


05/19/93 


92 CSE 


1593 


Mann 


10/13/93 


92 CSE 


1594 


Reilly 


11/01/93 


92 CSE 1595 


Gray 


11/17/93 


92 CSE 


1596 


Morrison 


07/14/93 


92 CSE 


1610 


Gray 


11/09/93 


92 CSE 


1611 


Morrison 


07/16/93 


92 CSE 


1618 


Chess 


10/12/93 


92 CSE 


1622 


Nesnow 


08/04/93 


92 CSE 


1623 


Morrison 


05/20/93 


92 CSE 


1624 


Mann 


09/15/93 



PUBLISHED DECISION 
REGISTER CITATION 



1 82 3 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CONTESTED CASE DECISIONS 



AGENCY 



Tony Thorpe v. Human Resources 

Jeffery D. Williams v. Human Resources 

Ronald Sowell v. Human Resources 

Billy Smith v. Human Resources 

Rawn Weigel v. Human Resources 

Anthony Curry v. Human Resources 

John G. Williams v. Human Resources 

Larry W. Golden v. Human Resources 

William J. Carter v. Human Resources 

Mark W. Dean v. Human Resources 

Linda D. McDonald v. Human Resources 

Tyrone Thomas v. Human Resources 

Rilton E. May v. Human Resources 

Joe K. Martin v. Human Resources 

Eric Stanley Stokes v. Human Resources 

Erskin J. Thompson v. Human Resources 

Larry Thompson v. Human Resources 

Billie J. Smith v. Human Resources 

Patrick Floyd v. Human Resources 

James Eric Frost v. Human Resources 

Dennis W. Nolan v. Human Resources 

Eric L. Garland v. Human Resources 

Ira Alston Jr. v. Human Resources 

Elvis Bernard Telfair v. Human Resources 

Ronald G. Bolden v. Human Resources 

Rodney H. Allen, MD v. Human Resources 

Donnell E. Byrd v. Human Resources 

Marvin Holley v. Human Resources 

Eddie Short v. Human Resources 

Michael Tywan Marsh v. Human Resources 

Leroy Jones v. Human Resources 

Antonio M. Townsend v. Human Resources 

Kevin J. Close v. Human Resources 

Norman Gatewood v. Human Resources 

Thadius Bonapart v. Human Resources 

Ronald Norman v. Human Resources 

Joseph Eric Lewis v. Human Resources 

Ronald Dean Lowery v. Human Resources 

Tamera S. Hatfield v. Human Resources 

Michael Wayne Bryant v. Human Resources 

James E. Blakney v. Human Resources 

E. Burt Davis Jr. v. Human Resources 

Nelson Fowler Jr. v. Human Resources 

Oswinn Blue v. Human Resources 

Charles E. Whiteley v. Human Resources 

Kelvin D. Jackson v. Human Resources 

Linwood Staton v. Human Resources 

Anthony Watson v. Human Resources 

Eugene Polk v. Human Resources 

Steve R. Tallent v. Human Resources 

Charles A. Morgan v. Human Resources 

Glenda K. Hollifield v. Human Resources 

Quinton Brickhousev. Human Resources 

Kenneth W. Williams v. Human Resources 

Charles Thompson Jr. v. Human Resources 

Barbara W. Catlett v. Human Resources 

Laurel Langford v. Human Resources 

Ida Diane Davis v. Human Resources 

Hatsuko Klein v. Human Resources 

Karen Mullins Martin v. Human Resources 

Ora Lee Brinkley v. David T. Flaherty, Secretary of Human Resources 

Mary McDuffie v. Human Resources Child Development 

Leon Barbee v. Human Resources 

Carrolton of Dunn, Inc. v. Human Resources 

Dialysis Care of North Carolina, Inc., d/b/a Dialysis Care of 
Cumberland County v. Human Resources, Division of Facility 
Services, Certificate of Need Section, and Bio-Medical 
Applications of Fayetteville d/b/a Fayetteville Kidney Center, 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


92 CSE 1625 


Chess 


07/15/93 


92 CSE 1626 


Mann 


05/19/93 


92 CSE 1627 


Reilly 


07/19/93 


92 CSE 1629 


Reilly 


03/25/93 


92 CSE 1630 


Mann 


11/18/93 


92 CSE 1631 


Reilly 


03/25/93 


92 CSE 1632 


Mann 


08/10/93 


92 CSE 1633 


Reilly 


03/25/93 


92 CSE 1637 


Nesnow 


05/19/93 


92 CSE 1638 


Reilly 


07/15/93 


92 CSE 1639 


Gray 


10/19/93 


92 CSE 1640 


Mann 


07/22/93 


92 CSE 1642 


Morgan 


07/29/93 


92 CSE 1650 


Reilly 


09/10/93 


92 CSE 1652* 3 


Reilly 


03/25/93 


92 CSE 1653 


Gray 


11/17/93 


92 CSE 1655 


Reilly 


07/22/93 


92 CSE 1656 


Gray 


07/23/93 


92 CSE 1663 


Reilly 


05/20/93 


92 CSE 1669 


Mann 


11/18/93 


92 CSE 1670 


Morrison 


06/25/93 


92 CSE 1671 


Mann 


07/22/93 


92 CSE 1703 


Becton 


06/16/93 


92 CSE 1704 


Reilly 


09/15/93 


92 CSE 1706 


Mann 


06/25/93 


92 CSE 1707 


Morrison 


11/18/93 


92 CSE 1712 


Chess 


10/22/93 


92 CSE 1713 


Mann 


06/08/93 


92 CSE 1714 


West 


07/15/93 


92 CSE 1716 


Gray 


06/17/93 


92 CSE 1718 


Gray 


06/17/93 


92 CSE 1721 


Chess 


08/30/93 


92 CSE 1727 


Chess 


08/30/93 


92 CSE 1728 


Chess 


10/22/93 


92 CSE 1740 


Chess 


09/21/93 


92 CSE 1746 


Chess 


10/14/93 


92 CSE 1748 


Becton 


08/02/93 


92 CSE 1771 


West 


07/15/93 


92 CSE 1772 


Chess 


08/30/93 


92 CSE 1773 


Chess 


10/22/93 


92 CSE 1779 


Nesnow 


05/13/93 


92 CSE 1780 


Gray 


11/17/93 


93 CSE 0050 


Chess 


10/18/93 


93 CSE 0073 


Chess 


08/03/93 


93 CSE 0183 


Becton 


11/10/93 


93 CSE 0221 


West 


08/04/93 


93 CSE 0250 


Nesnow 


08/13/93 


93 CSE 0396 


Nesnow 


08/04/93 


93 CSE 0437 


Chess 


08/11/93 


93 CSE 0448 


West 


10/29/93 


93 CSE 0518 


West 


11/09/93 


93 CSE 0545 


West 


10/11/93 


93 CSE 0576 


Gray 


11/17/93 


93 CSE 0590 


Reilly 


10/18/93 


93 CSE 0696 


Morrison 


09/23/93 


92 DCS 0577 


West 


03/15/93 


92 DCS 1181 


Gray 


05/04/93 


92 DCS 1200 


Gray 


03/29/93 


92 DCS 1271 


Reilly 


05/05/93 


92 DCS 1783 


West 


08/04/93 


92 DHR 0608 


Chess 


08/27/93 


93 DHR 0651 


Becton 


09/10/93 


92 DHR 0658 


Morrison 


04/30/93 


92 DHR 1101 


Morgan 


07/26/93 


92 DHR 1 109*" 


Morgan 


06/22/93 



PUBLISHED DECISION 
REGISTER CITATION 



8:5 NCR 441 



8:4 NCR 392 
8:8 NCR 687 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1824 



CONTESTED CASE DECISIONS 



AGENCY 



W'ehb-Loha/ichan-Melton Rentals. Bio-Medical Applications 
of North Carolina. Inc.. d/b/a BMA of Raeford and Webb- 
Lohaichan Rentals 

Dialysis Care of North Carolina. Inc., d/b/a Dialysis Care of 
Cumberland County v. Human Resources, Division of Facility 
Services, Certificate of Need Section, and Bio-Medical 
Applications of Fayette\ ille d/b/a Fayetteville Kidney Center, 
W'ebb-Lohaichan-Melton Rentals, Bio-Medical Applications 
of North Carolina, Inc.. d/b/a BMA of Raeford and W'ebb- 
Loha.'ichan Rentals 

Bio-Medical Applications of North Carolina, Inc., d/b/a BMA 
oi Raeford. W'ebb-Lohaichan-Melton Rentals. Bio-Medical 
Applications of North Carolina. Inc.. d/b/a BMA of Fayetteville 
J "b a Favetteville Kidney Center and W'ebb-Lohaichan Rentals 
v. Human Resources, Division of Facility Services, Certificate of 
Need Section and Dialysis Care of North Carolina, Inc., d/b/a 
Dialysis Care of Hoke County 

Renal Care of Rocky Mount, Inc. v. Human Resources, Division of 
Facility Services, Certificate of Need Section, and Bio-Medical 
Applications of North Carolina. Inc., d/b/a BMA of Tarboro, 
Rocky Mount Nephrology Associates, Inc., Bio-Medical 
Applications of North Carolina, Inc., d/b/a BMA of Rocky Mount 
d/b/a Rocky Mount Kidney Center, and Rocky Mount Kidney Center 
Associates 

James H. Hunt Jr. v. Division of Medical Assistance 

Barbara Jones v. Human Resources 

Joyce P. Williams v. Human Resources 

Snoopy Day Care. Diane Hamby v. Child Day Care Licensing 

Cynthia Reed v. Human Resources 

The Neighborhood Center v. Human Resources 

Helm's Rest Home. Ron J. Schimpf/Edith H. Wilson v. Human Resources 

Jo Ann Kinsey v. NC Memorial Hospital Betty Hutton, Volunteer Svc 

Amy Clara Williamson v. NC Mem Hosp Betty Hutton, Volunteer Svc. 

Betty Butler v. Human Resources 

Wayne Sanders and Brenda Sanders v. Human Resources 

Britthaen, Inc. v. Human Resources &. Valdese Nursing Home, Inc. 

Samuel Benson v. Office of Admin. Hearings for Medicaid 

James W. McCall, Alice V McCall v. Human Resources 

Vernice WTiisnant v. Human Resources 

Nell Brooks v. Child Day Care Section, Cherokee Cty Dept/Social Svcs 

Cabarrus Cty Dept. of Social Svcs. v. Human Resources 

Hannah F. Tonkel %'. Human Resources 

Fannie Lewis v. Human Resources 

Human Resources, Div. of Child Development v. Susan Amato 

Katie Kelly v. Human Resources 

Venola Hall, Agape Day Care v. Human Resources 

Christopher Durrer, Wilson Memorial Hospital v. Human Resources 

Darryl A. Richardson v. Human Resources 

Home Health Prof.. Barbara P. Bradsher. Admin v. Human Resources 

Sandra Gail Wilson v. Child Abuse/Neglect, Div. of Child Development 

Thomas M. Moss v. Human Resources 

Frank S. &. Susie R. Wells v. New Hanover Cty. Dept of Social Svcs. 



CASE 

MMKI.R 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



92 DHR 1 1 10*" Morgan 06/22/93 



92 DHR 1116* Morgan 06/22/93 



92 DHR 1120 



Gray 



06/18/93 



92 DHR 


1145 


Beclon 


05/13/93 


92 DHR 


1192 


Nesnow 


04/02/93 


92 DHR 


1275 


Gray 


03/15/93 


92 DHR 


1320 


Morgan 


05/21/93 


92 DHR 


1329 


Chess 


05/10/93 


92 DHR 


1375 


Chess 


08/02/93 


92 DHR 


1604 


Reilly 


05/10/93 


92 DHR 


1612 


Chess 


03/08/93 


92 DHR 


1613 


Chess 


03/08/93 


92 DHR 


1614 


Chess 


03/09/93 


92 DHR 


1699 


Reilly 


06/07/93 


92 DHR 


17S5 


Grav 


09/17/93 


93 DHR 0010 


Bee ton 


03/11/93 


93 DHR 0102 


Morgan 


10/05/93 


93 DHR 0332 


Morgan 


09/23/93 


93 DHR 0343 


Bee ton 


11/29/93 


93 DHR 0373 


Morgan 


07/20/93 


93 DHR 0378 


Nesnow 


09/10/93 


93 DHR 0379 


Gray 


06/28/93 


93 DHR 0418 


Morgan 


08/26/93 


93 DHR 0441 


Chess 


07/26/93 


93 DHR 0535 


Mann 


10/22/93 


93 DHR 0566 


Chess 


09/17/93 


93 DHR 0679 


Beeton 


09/30/93 


93 DHR 0737 


Chess 


09/23/93 


93 DHR 0782 


Nesnow 


09 '09/93 


93 DHR 0864 


Chess 


11/05/93 


93 DHR 0922 


Nesnow 


11/08/93 



< 



8:8 NCR 687 



8:8 NCR 687 



8:8 NCR 687 



:5 NCR 443 
:3 NCR 313 



8:7 NCR 632 



8:18 NCR 1832 



INSURANCE 



Carolyn M. Hair v. St Employees Comprehensive Major Medical 
Scotland Memorial Hospital. Mary Home Odom v. Bd. /Trustees// 
St. of N.C. Teachers' & St. Emp. Comp. Major Medual Plan, and 
David G. Devries. as Exec. Admin, of the N.C. Teachers' &. St. Emp. 
Comp. Major Medical Plan 
Phyllis C. Harris v. Teachers' & St. Emp. Comp. Major Med. Plan 

JUSTICE 

Philip B. Cales v. Justice, Attorney General's Office 

Donald Willard Johnson v. Criminal Justice Ed. & Training Stds. Comm. 
Jennings Michael Bostic v. Sheriffs' Ed. & Traning Stds Comm. 
Colin Carlisle Mayers v. Sheriffs' Ed. &. Training Stds. Comm. 



92 INS 1464 
92 INS 1791 



93 INS 0197 



Chess 
Reilly 



Nesnow 



03/10/93 
08/19/93 



07/29/93 



90 DOJ 0353 


Morgan 


08/30/93 


8:13 NCR 


1281 


92 DOJ 0420 


West 


11/05/93 


8:17 NCR 


1705 


92 DOJ 0656*' 


West 


06/22/93 






92 DOJ 0761 


Morrison 


05/10/93 







( 



1825 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CONTESTED CASE DECISIONS 



AGENCY 



Jennings Michael Bostic v. Sheriffs' Ed. & Traning Stds. Comm. 

Michael Charles Kershner v. Criminal Justice Ed & Training Stds Comm 

George Wilton Hawkins v. Criminal Justice Ed. & Training Stds. Comm. 

Marilyn Jean Britt v. Criminal Justice Ed. & Training Stds. Comm. 

Tim McCoy Deck v. Criminal Justice Ed. & Training Stds. Comm. 

Richard Zander Frink v. Criminal Justice Ed. &. Traning Stds. Comm. 

Sherri Ferguson Revis v. Sheriffs' Ed. & Training Stds. Comm. 

Mark Thomas v. Sheriffs' Ed. & Training Standards Commission 

George Wilton Hawkins v. Sheriffs' Ed. & Training Stds. Comm. 

Lonnie Allen Fox v. Sheriffs' Ed. & Training Standards Commission 

Alarm Systems Licensing Bd. v. Eric Hoover 

Alarm Systems Licensing Bd. v, Vivian Darlene Gaither 

Rebecca W Stevenson v. Criminal Justice Ed. &. Training Stds. Comm. 

Lloyd Harrison Bryant Jr. v. Criminal Justice Ed &. Training Stds Comm 

William B. Lipscomb v. Private Protective Services Board 

Private Protective Svcs. Bd. v. Fred D. Rector 

Private Protective Svcs. Bd. v. Alan D. Simpson 

William M. Medlin v. Sheriffs' Ed. & Training Stds. Comm. 

Carl Michael O'Byrne v. Alarm Systems Licensing Board 

Private Protective Services Board v. Michael A. McDonald 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


92 DOJ 0829*' 


West 


06/22/93 




92 DOJ 0869 


Morgan 


08/11/93 




92 DOJ 1081*' 


Morgan 


07/09/93 




92 DOJ 1088 


Morrison 


03/16/93 




92 DOJ 1367 


Chess 


04/01/93 




92 DOJ 1465 


Nesnow 


05/28/93 




92 DOJ 1756 


Gray 


03/23/93 




93 DOJ 0151 


West 


04/21/93 




93 DOJ 0156*' 


Morgan 


07/09/93 




93 DOJ 0196 


Morrison 


08/09/93 




93 DOJ 0201 


Bee ton 


07/12/93 




93 DOJ 0202 


Chess 


05/10/93 




93 DOJ 0357 


Morrison 


09/13/93 




93 DOJ 0377 


Reilly 


08/31/93 




93 DOJ 0458 


Morrison 


06/01/93 




93 DOJ 0479 


Mann 


08/19/93 




93 DOJ 0480 


West 


07/21/93 




93 DOJ 0569 


Chess 


10/06/93 




93 DOJ 0844 


Nesnow 


09/08/93 


8:13 NCR 1300 


93 DOJ 0975 


Gray 


11/29/93 





LABOR 



Greensboro Golf Center, Inc. v. Labor 

Ronald Dennis Hunt v. Labor 

Jeffrey M. McKinney v. Labor 

Pastor Larry C. Taylor Warsaw Church of God v. Labor 



92 DOL 0204 


Nesnow 


04/15/93 


92 DOL 1319 


Morgan 


06/17/93 


92 DOL 1333 


Morrison 


06/21/93 


93 DOL 0961 


West 


11/16/93 



MORTUARY SCIENCE 

Boaid of Mortuary Science v. Triangle Funeral Chapel, Inc. 
PUBLIC INSTRUCTION 



92 BMS 1169 



Reilly 



04/29/93 



8:4 NCR 396 



Arnold O. Herring v. Public Instruction 

Frances F Davis, Parent of Joseph E. Davis v. Public Instruction 

Donna Marie Snyder v. Public Instruction 



91 EDC 0858 


Becton 


10/20/93 


93 EDC 0628 


Mann 


07/29/93 


93 EDC 0731 


Nesnow 


09/16/93 



STATE PERSONNEL 



Frances K. Pate v. Transportation 

Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Lawrence D. Wilkie, Jerry R. Evans, Jules R. Hancart, 

James H. Johnson, James D. Fishel v. Justice 
Connie B. Lee v. Justice 

Donald Allen Rutschman v. UNC Greensboro, Office of Human Res. 
Bernie B. Kellly v. Correction 
Brenda G. Mitchell v. Correction 
Walton M. Pitlman v. Correction 

Adolph Alexander Justice Jr. v. Motor Vehicles, Transportation 
Clayton Brewer v. North Carolina State University 
Sherman Daye v. Transportation 
Donnie M. White v. Correction 

Gregory Samuel Parker v. Environment, Health, &. Natural Resources 
Renee E. Shepherd v. Winston-Salem State University 
Eva Dockery v. Human Resources 

Lee P. Crosby v. Michael Kelly, William Meyer and EHR 
William Marshall Boyd Jr. v. County Commissioners of Hyde &. 

Certain Board of Health Members 
Gregory Samuel Parker v. Environment, Health, & Natural Resources 



88 OSP 0340 Morrison 05/03/93 

90OSP1064* 1 Mann 05/04/93 

90 OSP 1065** Mann 05/04/93 

90 OSP I066* 5 Mann 05/04/93 

90 OSP 1067** Mann 05/04/93 

90OSP1068* 4 Mann 05/04/93 



91 OSP 0011 


Morgan 


10/05/93 


8:15 NCR 1498 


91 OSP 0305 


Chess 


10/19/93 




91 OSP 0344 


Morrison 


05/27/93 




91 OSP 0625 


West 


03/08/93 


8:1 NCR 75 


91 OSP 0805 


Morgan 


10/06/93 




91 OSP 0860 


Chess 


07/19/93 




91 OSP 0941 


West 


04/02/93 


8:3 NCR 306 


91 OSP 0951 


West 


05/07/93 




91 OSP 1236 


Morgan 


04/05/93 




91 OSP 1344* 5 


Chess 


05/20/93 




91 OSP 1391 


Morgan 


04/28/93 




92 OSP 0010 


Chess 


05/03/93 




92 OSP 0056 


Gray 


06/07/93 




92 OSP 0090 


Gray 


08/25/93 




92 OSP 0188*' 


Chess 


05/20/93 





8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1826 



CONTESTED CASE DECISIONS 



AGENCY 



Willie Granville Bailey v. Winston-Salem Stale University 

Mattie W. Smith v. State Agricultural and Technical University 

Julia Spinks v. Environment, Health, &. Natural Resources 

James B. Price v. Transportation 

I. Can Nailling v. UNC-CH 

Deborah Barber v. Correction 

Lave me B. Hill v. Transportation 

Jimmy D. Wilkins v. Transportation 

Sarah W. Britt v. Human Resources, C.A. Dillon School, CPS 

Charles Robinson v. Revenue 

Anna L. Spencer v. Mecklenburg County Area Mental Health 

Herman James Goldstein v. UNC-Chapel Hill et al. 

Ronnie H. Mozingo v. Correction 

Glinda C. Smith v. Wildlife Resources Commission 

Cindy G. Bartlett v. Correction 

William Kenneth Smith Jr. v. Broughton Hospital (Human Resources) 

Larry O. Nobles v. Human Resources 

Beatrice Wheless v. Lise M. Miller, University Payroll Off., NC St. Univ. 

Tracey Hall v. N.C. Central U, Off. of Seholaiship & Student Aid 

Sondra Williams v. Winston-Salem State University 

Willie Thomas Hope v. Transportation 

David Scales v. Correction 

Suzanne Ransley Hill v. Environment, Health. &. Nat. Res. 

Herman James Goldstein v. UNC-Chapel Hill et al. 

Charles M. Blackwelder v. Correction 

Beatrice Wheless v. Lise M. Miller, University Payroll Off., NC St. Univ. 

John B. Sauls v. Wake County Health Department 

Patti G. Newsome v. Transportation 

Nancy McAllister v. Camden County Department of Social Services 

Gilbert Jaeger v. Wake County Alcoholism Treatment Center 

Joseph Henry Bishop v. Environment, Health, & Natural Res. 

Glenn D. Fuqua v. Rockingham County Board of Social Services 

Dorothy D. Johnson v. Correction 

Willie L. Hudson v. Correction 

Brenda K. Campbell v. Employment Security Commission 

Christie L. Guthrie v. Environment, Health. &. Natural Resources 

Sharon Reavis v. Crime Control & Public Safety 

James B. Price v. Transportation 

Jerry L. Jones v. N.C.S.U. Physical Plant 

Mattie W. Smith v. State Agricultural and Technical University 

Gina Renee Cox v. UNC Chapel Hill 

Roland W. Holden v. University of North Carolina at Chapel Hill 

Betty Bradsher v. UNC-CH 

Anthony M. Little v. Human Resources, John Umstead Hospital 

Jannie C. Sykes v. Employment Security Commission 

Jamal Al Bakkat-Morris v. Glenn Sexton (DSS) 

Rebecca Beauchesne v. University of North Carolina at Chapel Hill 

Brenda Kay Barnes v. Human Resources 

Larry G. Riddle v. Correction, Division of Prisons 

Stevie E. Dunn v. Polk Youth Center 

Buford D. Vieregge Jr. v. N.C. State University, University Dining 

Dorothy Ann Harris v. Correction 

Brenda B. Miles v. University of North Carolina Chapel Hill 

Deborah J. Whitfield v. Caswell Center 

Karen Canter v. Appalachian State University 

Terry Steve Brown v. Iredell County Health Department 

Barbara A. Johnson v. Human Resources 

Carrie P. Smith v. County of Stanly 

George W. Allen v. Human Resources, Correction, Agri & EHNR 

William G. Fisher v. St Bd of Ed. Albermarle City Schools & Bd of Ed 

Grace Jean Washington v. Caswell Center 

Ralph Snipes v. Transportation and Correction 

Clifton E. Simmons v. Correction 

Willie L. James v. Caswell Center 

Irving S. Rodgers v. C.A. Dillon, Division of Youth Services 

Richard E. Howell v. Correction, Wayne Correctional Center 

Brian Dale Barnhaidl v. State Highway Patrol 

FR. "Don' 1 Bowen v. Human Resources 



CASE 




DATE OF 


NUMBER 


ALJ 


DECISION 


92 OSP 0285 


Morrison 


03/10/93 


92 OSP 0298* 12 


Rellly 


09/14/93 


92 OSP 0313 


Becton 


04/12/93 


92 OSP 0375 


Gray 


04/13/93 


92 OSP 0394 


Becton 


04/20/93 


92 OSP 0396 


Chess 


03/04/93 


92 OSP 043 1* 1 


West 


03/08/93 


92 OSP 0432* 1 


West 


03/08/93 


92 OSP 0455 


West 


05/26/93 


92 OSP 0553 


Morgan 


07/21/93 


92 OSP 0584 


Becton 


08/16/93 


92 OSP 0634 


Morrison 


05/04/93 


92 OSP 0644 


Mann 


10/11/93 


92 OSP 0653 


Morrison 


03/12/93 


92 OSP 0671 


M organ 


06/08/93 


92 OSP 0684 


Becton 


05/10/93 


92 OSP 0732 


Mann 


04/23/93 


92 OSP 0744* 10 


Morgan 


07/16/93 


92 OSP 0815 


Morgan 


09/16/93 


92 OSP 0847 


Morrison 


08/06/93 


92 OSP 0947 


Morgan 


03/23/93 


92 OSP 0989 


Chess 


06/24/93 


92 OSP 0992 


Reilly 


03/18/93 


92 OSP 


1047 


Morrison 


05/04/93 


92 OSP 


1082 


Morrison 


10/15/93 


92 OSP 


1 124* 10 


Morgan 


07/16/93 


92 OSP 


1142 


Reilly 


03/08/93 


92 OSP 


1180 


Becton 


09/22/93 


92 OSP 


1185 


Chess 


09/07/93 


92 OSP 


1204 


Reilly 


05/10/93 


92 OSP 


1243 


Reilly 


03/05/93 


92 OSP 


1318 


Morrison 


08/03/93 


92 OSP 


1395 


Nesnow 


10/29/93 


92 OSP 


1468 


Becton 


05/26/93 


92 OSP 


1505 


Morrison 


03/17/93 


92 OSP 


1555 


Becton 


05/31/93 


92 OSP 


1606 


Morrison 


08/19/93 


92 OSP 


1657 


Mann 


03/19/93 


92 OSP 


1661 


Chess 


07/06/93 


92 OSP 


1691* 12 


Reilly 


09/14/93 


92 OSP 


1692 


Becton 


10/18/93 


92 OSP 


1715 


Becton 


08/30/93 


92 OSP 


1733 


Becton 


03/30/93 


92 OSP 


1734 


Becton 


09/01/93 


92 OSP 


1738 


Gray 


10/25/93 


92 OSP 


1741 


Becton 


03/24/93 


92 OSP 


1767 


Becton 


10/01/93 


92 OSP 


1768 


Morrison 


03/17/93 


92 OSP 


1774 


Gray 


04/26/93 


92 OSP 


1789 


Becton 


04/19/93 


92 OSP 


1796 


Morrison 


05/27/93 


93 OSP 0013 


Morrison 


09/15/93 


93 OSP 0033 


Morrison 


09/10/93 


93 OSP 0064 


West 


09/20/93 


93 OSP 0079 


Reilly 


06/15/93 


93 OSP 0101 


Morgan 


08/06/93 


93 OSP 0103 


Morrison 


03/17/93 


93 OSP 0109 


Becton 


04/01/93 


93 OSP 0111 


Reilly 


04/16/93 


93 OSP 0134 


Becton 


04/20/93 


93 OSP 0153 


Morgan 


06/03/93 


93 OSP 0157 


Mann 


10/29/93 


93 OSP 0159 


Morrison 


04/21/93 


93 OSP 0171 


Morgan 


05/27/93 


93 OSP 0177 


West 


04/21/93 


93 OSP 0245 


Gray 


08/25/93 


93 OSP 0251 


Reilly 


07/27/93 


93 OSP 0253 


Morgan 


08/06/93 



PUBLISHED DECISION 
REGISTER CITATION 



8:4 NCR 382 



i 



8:6 NCR 484 



:2 NCR 224 
:15 NCR 1500 



: 1 NCR 88 
:14 NCR 1346 



8:12 NCR 1163 



8:13 NCR 1292 



i 



1827 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CONTESTED CASE DECISIONS 



AGENCY 



Michael L. Pegram v. Correction 

Jerry D. Doss Sr. v. Correction 

Debbie Renee Robinson v. Correction 

Shaw Boyd v. Correction 

Linda R. Wharton v. N.C. A & T University 

Michael L. Pegram v. Correction 

Ralph W. Burcham v. Transportation 

AJvin Lamonte Breedon v. OPC Mental Health 

Hubert L. Holmes v. Transportation 

Vernell Ellis Turner v. NC A & T Felice Dept, NC Agricultural Tech U 

Timothy E. Blevins v. UNC A/K/A Western Carolina University 

Xantippe Blackwell v. Human Resources, Murdoch Center 

Wayne Bradley Johnson v. State Computing Center 

Harold Kovolenko v. Lynn C. Phillips, Director of Prisons 

Daniel Thomas Wheeler, Kye Lee Wheeler v. Caldwell County 

Department of Social Services 
Terry Johnson v. Correction 
David Henry v. Correction 
Kathleen E. Conran v. New Bern Police Dept., City of New Bern; and 

City of New Bern Police Civil Service Boaid 
Berton Hamm Jr. v. Wake County Child & Family Services 
John R. Woods Sr. v. Wake County Child & Family Services 
Coleman F. Tyrance Jr. v. Wake County Child & Family Services 
John Augusta Page v. Wake County Child & Family Services 
Thomas James v. Wake County Child & Family Services 
James E. Hargrove v. Wake County Child &. Family Services 
Ricky Harrell v. Wake County Child & Family Services 
Bruce Creecy v. Wake County Child &. Family Services 
Dana Phillips v. Administrative Office of the Courts 
Terry P. Chappell v. Correction 



CASE 




DATE OF 


PUBLISHED DECISION 


NUMBER 


ALJ 


DECISION 


REGISTER CITATION 


93 OSP 0275** 


Reilly 


06/28/93 




93 OSP 0287 


Gray 


05/17/93 




93 OSP 0383 


Nesnow 


06/07/93 




93 OSP 0438 


Morgan 


11/12/93 


8:18 NCR 1838 


93 OSP 0456 


Chess 


09/22/93 




93 OSP 0472** 


Reilly 


06/28/93 




93 OSP 0493 


Chess 


10/15/93 


8:16 NCR 1558 


93 OSP 0551 


Gray 


11/23/93 




93 OSP 0572 


Reilly 


08/17/93 




93 OSP 0577 


Becton 


11/03/93 




93 OSP 0604 


Morgan 


09/29/93 




93 OSP 0632 


Reilly 


09/01/93 




93 OSP 0694 


Chess 


10/11/93 




93 OSP 0697 


Nesnow 


09/08/93 




93 OSP 0752 


Nesnow 


09/16/93 




93 OSP 0757 


Gray 


10/06/93 




93 OSP 0789 


Gray 


11/29/93 




93 OSP 0797 


Morrison 


09/21/93 




93 OSP 0809 


Becton 


10/27/93 




93 OSP 0810 


Becton 


11/02/93 




93 OSP 0811 


Becton 


11/02/93 




93 OSP 0812 


Becton 


11/02/93 




93 OSP 0813 


Becton 


11/02/93 




93 OSP 0814 


Becton 


11/02/93 




93 OSP 0815 


Becton 


11/02/93 




93 OSP 0816 


Becton 


11/02/93 




93 OSP 0822 


West 


09/09/93 




93 OSP 0834 


Nesnow 


10/11/93 





STATE TREASURER 



Juanita M. Braxton v. Bd. of Trustees /Teachers' & St Emp Ret Sys 
Herman D. Brooks v. Bd of Trustees /Teachers' & St Emp Ret Sys 
Henrietta Sandlin v. Teachers' & State Emp Comp Major Medical Plan 
Frances Billingsley v. Bd /Trustees/Teachers' &. St. Emp. Ret. Sys. 
Dennis Willoughby v. Bd. /Trustees /Teachers' & St. Emp. Ret. Sys. 
Mary Alyce Carmichael v. Bd /Trustees/Teachers' &. St Emp Ret Sys 
Shirley M. Smith v. Bd. /Trustees /Teachers' & St. Emp. Ret. Sys. 
W. Rex Perry v. Bd/Trustees/Teachers' & St Emp Ret Sys 
Rory Dale Swiggett v. Bd./Trustees/N.C. Local Govtl. Emp. Ret. Sys. 
Catherine D Whitley v. Bd. /Trustees /Teachers & St. Emp. Ret. Sys. 



91 DST 0017 


West 


09/07/93 




91 DST 0566 


Gray 


04/13/93 




92 DST 0305 


Morgan 


04/12/93 




92 DST 0996 


West 


09/20/93 




92 DST 1439 


West 


09/20/93 


8:14 NCR 1356 


92 DST 1506 


Chess 


04/08/93 




92 DST 1776 


Reilly 


11/18/93 


8:18 NCR 1829 


93 DST 0133 


West 


08/12/93 


8:11 NCR 992 


93 DST 0198 


West 


09/28/93 


8:14 NCR 1360 


93 DST 0727 


Reilly 


11/18/93 





TRANSPORTATION 



Yates Construction Co. , Inc. v. Transportation 
UNTVERSITY OF NORTH CAROLINA HOSPITALS 



92 DOT 1800 Morgan 03/25/93 



Constance V. Graham v. UNC Hospital 
Jacqueline Florence v. UNC Hospitals 



93 UNC 0269 
93 UNC 0355 



Morgan 
Becton 



07/20/93 
06/16/93 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1828 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 



COUNTY OF CUMBERLAND 



IN THE OFFICE OF 
ADMTNISTRATTVE HEARINGS 

92 DST 1776 



SHIRLEY M. SMITH. 

Petitioner. 



THE BOARD OF TRUSTEES OF THE 
TEACHERS' AND STATE EMPLOYEES' 
RETIREMENT SYSTEM, 
Respondent. 



RECOMMENDED DECISION 



This matter came on for hearing before the undersigned administrative law judge on November 10, 
1993, in Raleigh. 

Mr. Charles T. Hall represented the petitioner. Mr. Alexander McC. Peters represented the 
respondent. The parties stipulated the facts. 

ISSUES 

1. Are long-term disability benefits reduced under G.S. 135-106(b) by the gross amount of Social 
Security disability benefits or by the net amount of those benefits after deduction of attorney fees and 
costs? 

2. Are long-term disability benefits reduced under G.S. 135-106(b) by the receipt of Social Security 
Widow's Benefits? 

STIPULATION OF FACTS 

1 . The petitioner is a former employee of a North Carolina school system who was forced to retire 
because of illness. 

2. As a result of her employment with a North Carolina school system and her disability, the petitioner 
applied for long-term disability benefits under the disability income plan administered by the 
respondent. See G.S. 135-106. This application was approved and the petitioner is receiving long- 
term disability benefits. 

3. Long-term disability benefits under the disability income plan are subject to reduction by the amount 
of the primary disability benefits that a retiree receives from the Social Security Administration. See 
G.S. 135-106(b). This reduction shall hereinafter be referred to as the "offset." 

4. The petitioner also applied for Disability Insurance Benefits under the Social Security Act, 42 USC 
423, and for Social Security Widow's Benefits on the basis of disability on the Social Security account 
of her late husband, Lester Smith, under 42 USC 402(e). 

5. The petitioner's claims for Disability Insurance Benefits and Widow's Benefits on the basis of 
disability were denied by the Social Security Administration at the initial level. The petitioner 
requested reconsideration of the denial of her claims, but her claims were again denied. The 
petitioner then requested an administrative hearing concerning her claims. 



1829 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CONTESTED CASE DECISIONS 



6. The petitioner retained Charles T. Hall, Attorney at Law, to represent her at the administrative 
hearing on her claims. The petitioner and the attorney signed an agreement by which the attorney 
would receive no fee if the petitioner's claims were denied, but a fee of one-quarter of the back 
benefits paid the petitioner if the claims were approved. The agreement also provided that the 
petitioner was to reimburse the attorney for any costs associated with the case. 

7. After a hearing, a Social Security administrative law judge approved both of the petitioner's claims. 

8. Under the provisions of the Social Security Act, 42 USC 406, one-quarter of the petitioner's back 
benefits, i.e. $2,352.00, was withheld by the Social Security Administration for attorney fees and not 
paid to the petitioner. 

9. The petitioner's attorney filed a petition on his own behalf with the Social Security Administration 
seeking approval of an attorney fee of one quarter of the petitioner's back Disability Insurance 
Benefits. The attorney's petition was approved and the Social Security Administration paid $2,352.00 
directly to the attorney. In addition, the petitioner reimbursed the attorney $93.00 for costs that the 
attorney incurred in representing the petitioner. 

10. Upon learning that the Social Security Administration had approved the petitioner's claim for 
Disability Insurance Benefits, the Retirement Systems Division of the Department of State Treasurer 
which acts as the respondent's agent and administers the disability income plan on a day to day basis 
made a computation of the offset, that should be applied because the petitioner had now received 
disability benefits from the Social Security Administration for the same period of time that she had 
received long-term disability benefits from the disability income plan. In computing the offset, the 
Retirement Systems Division used the gross amount of Disability Insurance Benefits for the petitioner 
plus the gross amount of Widow's Benefits on account of disability, rather than the net amount after 
attorney fees had been withheld by the Social Security Administration and paid to the petitioner's 
attorney and after payment by the petitioner of costs associated with presenting her case to the Social 
Security Administration. 

CONCLUSIONS OF LAW 

1. Long-term disability benefits may be reduced under G.S. 135-106(b) by the gross amount of past-due 
Social Security disability benefits received by the petitioner. 

2. Long-term disability benefits may not be reduced under G.S. 135- 106(b) by the amount of the 
petitioner's Social Security Widow's Benefits. 

RECOMMENDED DECISION 

It is recommended that G.S. 135- 106(b) benefits may be reduced by the gross amount of past-due 
Social Security benefits received by the petitioner but may not be reduced by the amount of the petitioner's 
Social Security Widow's Benefits. 

MEMORANDUM 

G.S. 135-106(b) provides in part that long-term disability benefits will be "reduced by any primary 
Social Security disability benefits and by monthly payments for Workers' Compensation to which the 
participant or beneficiary may be entitled , but the benefits payable shall be no less than ten dollars ($10.00) 
a month." The respondent contends that the case turns on the word "primary" which means "basic." The 
petitioner contends that the word "primary" was intended to distinguish between benefits for "primary 
beneficiaries" as opposed to "auxiliary beneficiaries". The undersigned is of the opinion that "primary" means 
that the Social Security benefits were recognized by the General Assembly to be the foremost source of 
assistance. 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1830 



CONTESTED CASE DECISIONS 



The critical word is "entitled" which refers to the Social Security disability benefits as well as 
Workers' Compensation payments. 42 USC 406, cited by the parties, provides in part that "the Secretary shall 
. . . certify for payment out of such past-due benefits ... to such attorney an amount equal to so much of 
the maximum fee as does not exceed 25 percent of such past due benefits . . . . " This language confirms that 
the petitioner was awarded a certain amount of past-due benefits to which she was entitled and from which 
the Secretary paid the fees due the attorney. This is consistent with the common understanding that, absent 
contrary statutory language, a party is responsible for paying his or her own attorney fees. Therefore, the 
respondent properly reduced the benefits payable under G.S. 135- 106(b) by the gross amount of past-due 
Social Security disability benefits received by the petitioner. 

II. 

There are three basic types of Social Security benefits: Old Age Benefits (42 USC 402), Survivors 
Benefits (42 USC 402), and Disability Insurance Benefits (42 USC 423). The first two are paid out of one 
fund; the third is paid out of a second fund. 

Widow's Benefits are paid out of the first fund. These benefits are survivors benefits, not disability 
benefits, even though disability is a necessary condition if the person is between the age of 50 and 60. 
Therefore, the petitioner's Social Security Widow's Benefits are not "Social Security disability benefits" as 
the term is used in G.S. 135-106(b). 

ORDER 

It is hereby ORDERED that the agency serve a copy of the Final Decision on the Office of 
Administrative Hearings, P.O. Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina 
General Statutes 150B-36(b). 

NOTICE 

The final decision in this contested case shall be made by the respondent. Each party has the right to 
file exceptions to the recommended decision and to present written arguments on the decision to this agency. 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to 
furnish a copy to the parties' attorney of record and to the Office of Administrative Hearings. 

This the 18th day of November, 1993. 



Robert Roosevelt Reilly, Jr. 
Administrative Law Judge 



1831 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF CHEROKEE 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

93 DHR 0343 



NELL BROOKS, 
Petitioner, 



CHILD DAY CARE SECTION, CHEROKEE 
COUNTY DEPARTMENT OF SOCIAL SERVICES, 
Respondent. 



RECOMMENDED DECISION 



This matter was heard before Brenda B. Becton, Administrative Law Judge, on July 29, 1993, in 
Murphy, North Carolina. At the conclusion of the hearing, the parties were afforded an opportunity to file 
written submissions. The record was closed on October 12, 1993. 



APPEARANCES 

Petitioner: James L. Blomeley, Jr., Attorney, Murphy, 

North Carolina. 

Respondent: Staci Tolliver Rust, Associate Attorney 

General, N. C. Department of Justice, Raleigh, North Carolina. 

ISSUE 

Whether the Respondent properly and correctly revoked the Petitioner's registration certificate for her 
child day care home based upon alleged substantiation of child neglect and violations of the child day care 
requirements. 

BURDEN OF PROOF 

The burden of proof is on the Respondent, Division of Child Development. The Respondent has the 
burden of proving, by the greater weight of the substantial evidence, that the Petitioner violated requirements 
of the child day care laws and regulations by neglecting children in her care. 

EXHIBITS 

Exhibits were omitted from this publication. If you would like a copy please contact the Office of 
Administrative Hearings, P.O. Box 27447, Raleigh, NC 27611-7447, (919) 733-2678. 

EVIDENTIARY RULING 

The Petitioner offered P3, letters of support, in evidence and the Respondent objected on the basis 
of hearsay. The undersigned reserved ruling on the matter. 

The letters of support offered by the Petitioner are in the nature of "character" evidence similar to 
the testimony of witnesses called to testify on the Petitioner's behalf. The Respondent had an opportunity to 
cross examine witnesses who offered testimony similar to that contained in the letters of support. Therefore 
Respondent's inability to cross examine the persons writing the letters of support is not an unduly prejudicial 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1832 



CONTESTED CASE DECISIONS 



handicap in these circumstances. 

Therefore, the Respondent's objection to Petitioner's exhibit three is hereby OVERRULED, and the 
documents are admitted in evidence. 

FINDINGS OF FACT 

From official documents in the file, sworn testimony of the witnesses, and other competent and 
admissible evidence, it is found as a fact that: 

1. The Petitioner holds registration certificate I.D. #20-0-5018 with the Division of Child Development 
of the North Carolina Department of Human Resources for operation of a day care home. 

2. The Petitioner has cared for approximately 60 to 70 children in her home over the years. Up until 
the time she became a licensed home child care provider in 1989, she treated the children as she did 
her own and would spank them when she thought such discipline was appropriate. 

3. The Petitioner testified that she has not administered any form of corporal punishment to a child in 
her care since she became licensed as home child care provider. 

4. In September, 1992, the Cherokee County Department of Social Services (hereinafter "DSS") received 
a complaint about a child that the Petitioner cared for in her home. 

5. DSS notified the Respondent that it had received a complaint regarding the Petitioner's day care 
home. 

6. Both DSS and the Respondent initiated investigations regarding the allegations against the Petitioner. 

7. On September 11, 1992, BeBe Cornwell, a social worker employed by DSS met the mother of the 
alleged victim child at the day care center the child was now attending in Andrews. Ms. Cornwell 
took pictures of the child's buttocks. 

8. The alleged victim child had small one and a half to two and a half inch bruises on the fleshy part 
of her buttocks. In addition, there were two red parallel lines about one to one and a half inches 
apart in the same area. 

9. The alleged victim child and her four year old sister had been cared for by the Petitioner in her home 
on September 10, 1992 from approximately 3:00 p.m. until 8:00 p.m. The bruises had been 
discovered sometime during the evening of September 10 by the child's step-father when he changed 
the child's diaper. 

10. On September 14, 1992, Ms. Cornwell interviewed the alleged victim child's four year old sister and 
the Petitioner for the purpose of gathering information regarding the allegations made against the 
Petitioner. 

11. On September 17, 1992, Ms. Cornwell and Becky Porterfield, a Child Care Consultant with the 
Respondent, visited the Petitioner's home. During the visit, Ms. Cornwell and Ms. Porterfield 
interviewed the Petitioner and inspected the Petitioner's premises. 

12. During the interview, the Petitioner told Ms. Cornwell and Ms. Porterfield that she had not observed 
anything wrong with the alleged victim child during the time she was in the Petitioner's care. 

14. When Ms. Cornwell returned to her office she met with her supervisor to discuss the case. Her 

supervisor recommended that the alleged victim child's sister be interviewed again. 



1833 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



15. On September 28, 1992, Ms. Cornwell interviewed the alleged victim child's four year old sister 
again to see if her story remained consistent. 

16. On October 1, 1992, Ms. Cornwell spoke with five children whom the Petitioner cared for at her 
home. 

17. On October 13, 1992, while DSS continued its investigation of the complaint against the Petitioner, 
DSS received another report alleging abuse of a child that the Petitioner cared for in her home. DSS 
notified the Respondent that it had received a second report of alleged child abuse regarding the 
Petitioner's child care home. 

18. DSS visited the second alleged victim child's home on October 13 to gather information regarding 
the allegations of abuse and to observe and photograph the child. 

19. The alleged victim child had linear, parallel bruising on the buttocks. The bruises were one to one 
and a half inches long with a space between them about the width of a ruler. 

20. The alleged victim child's mother reported that the Petitioner had been caring for the child for two 
weeks. On the previous day, the child had been taken to the Petitioner's home at approximately 7:15 
a.m. and picked up at about 3:30 p.m. The mother changed the child's diaper at approximately 4:00 
p.m. and she noticed that there were red marks on the child's buttocks that she thought might be 
related to the child's diaper rash. When she bathed the child later that evening, the red marks had 
darkened and looked liked bruises. She called the Petitioner at approximately 8:00 p.m. to ask about 
the bruises. The Petitioner told the mother that she had not noticed any marks on the child's buttocks 
and she also said that the child had not fallen while at the Petitioner's home. 

21. The alleged victim child's mother testified that there were no marks other than a diaper rash on the 
child's buttocks when she took her to the Petitioner's home that morning, and nothing occurred that 
would have caused marks of the type she observed on her child between the time she picked her child 
up from the Petitioner's and noticed the red marks on the child's buttocks. 

22. On October 15, 1992, Ms. Cornwell and Ms. Porterfield went to the Petitioner's home to investigate 
the second allegation of abuse at the day care home. The Petitioner denied striking the second alleged 
victim child and stated that the child had been fine when she went to the bathroom about 3:00 p.m. 
the afternoon the alleged abuse was supposed to have occurred. The Petitioner reported that the 
child's mother had called on the evening of October 12, 1992 to ask about the bruises on her 
daughter's buttocks. 

23. The investigations by DSS and the Respondent did not uncover any instrument in the Petitioner's 
home which could have caused such distinctive bruising on the buttocks of the two alleged victim 
children. 

24. On October 19, 1992, Ms. Cornwell and her supervisor "staffed" the investigations regarding the 
allegations of September 11, 1992 and October 13, 1992. 

25. Ms. Cornwell and her supervisor "staffed" the investigations again on October 21, 1992 and decided 
to substantiate both reports received by DSS. 

26. The basis for the substantiation by DSS was that both children had suffered bruising that was identical 
in shape, location, and coloration. Both children were in the "potty" training stages of development 
and the bruises were discovered by parents after their children were taken home from the Petitioner's 
day care home. DSS felt that it was more than a mere coincidence that two children whom the 
Petitioner cared for were found to have such similar bruises. 

27. Neither DSS nor the Respondent inspected the homes of the alleged victim children to determine if 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1834 



CONTESTED CASE DECISIONS 



some object in the children's homes could have produced the bruises. The parents were asked if they 
had spanked the children and they denied having done so. 

28. The DSS investigation included conversations with several of the parents whose children the Petitioner 
kept. These parent interviews were conducted after the decision to substantiate neglect was made. 

29. DSS notified the Respondent of its decision to substantiate neglect against the Petitioner in a letter 
dated October 21, 1992. 

30. Following the substantiation by DSS, the Respondent concluded its investigation and substantiated 
neglect against the Petitioner. 

31. The Respondent reviewed the investigation and substantiations of neglect against the Petitioner on 
February 11, 1993 and recommended revocation of the Petitioner's registration certificate. 

32. The Respondent notified the Petitioner of its decision to substantiate neglect and revoke the 
Petitioner's registration certificate by letter dated February 15, 1993. 

33. The Respondent proceeded to revoke the Petitioner's registration certificate and sent a Notice of 
Administrative Action by letter dated March 12, 1993. 

34. The Petitioner denies having ever disciplined a child inappropriately and states that she uses "time- 
out" as a disciplinary action when needed. 

35. The Petitioner denies causing any of the bruises found on the alleged victim children. The Petitioner 
also denies that either of two children had any kind of accident that could have caused the bruises 
while they were in her care. 

36. Both of the alleged victim children were cared for by the Petitioner on the same day the marks and 
bruising were discovered. 

37. Children in the Petitioner's care who were interviewed by DSS deny that she has used corporal 
punishment on them as a means of discipline. 

38. Many of the parents of the children the Petitioner cares for are satisfied with the care the Petitioner 
has been providing their children. 

39. The Petitioner has no history of child abuse or neglect. Neither does she have a history of non- 
compliance with child day care rules and regulations. 

40. DSS apparently believed the information it obtained from the four year old sibling of one of the 
alleged victim children and used that information to reach its conclusion that the Petitioner had 
spanked the two alleged victim children. There was no evidence presented as to why this child's 
statement was more believable than those of the other children who denied any instances of corporal 
punishment taking place in the Petitioner's home. 

41. There is insufficient evidence to make any finding as to the specific cause of the marks and bruises 
found on the buttocks of the two alleged victim children. 

42. There is insufficient evidence to support the Respondent's conclusion, found in its Negative Action 
Proposal under Probability of Reoccurrence (Respondent's exhibit R"G"), that the Petitioner "used 
corporal punishment on two children in her care...." 

43. North Carolina General Statutes section 1 10-88(6a) provides that the Child Day Care Commission has 
the power and duty to make rules for administrative action against a child day care home when 



1835 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



investigations substantiate that child abuse or neglect did occur in the home. The type of sanction 
is determined by the severity of the incident and the probability of reoccurrence. 

44. North Carolina General Statutes section 110-104.2 provides that child abuse and neglect, as defined 
in section 7A-517 and 14-318.2, -318.4 of the North Carolina General Statutes, which occurs in day 
care facilities and homes is a violation of the licensure and registration standards and laws. 

45. North Carolina General Statutes section 7A-5 17(21) (Cum. Supp. 1992) defines neglected juvenile, 
in pertinent part, as: 

[a] juvenile who does not receive proper care, supervision, or discipline 
from his parent, guardian, custodian, or caretaker .... 

Based on the foregoing Findings of Fact, the undersigned Administrative Law Judge makes the 
following: 

CONCLUSIONS OF LAW 

1 . In order to prevail in this contested case, the Respondent has the burden of proving by the greater 
weight of the evidence that the Petitioner "neglected" the two children who were later discovered to 
have bruised buttocks. There is nothing in the law that places the initial burden on the Petitioner to 
disprove neglect. 

2. The root of the Respondent's suspicion that the bruises on the two alleged victim children were caused 
by the Petitioner's neglect appears to be the Petitioner's failure to offer a plausible explanation for 
how the bruises came to be. If the evidence is such that it is conclusively proven that the bruises 
could only have occurred while the children were in the Petitioner's care, then the Petitioner's lack 
of a plausible explanation for the occurrence of the bruises would probably be an indication of 
improper supervision on her part and, therefore, an indication of neglect. 

3. The evidence, however, does not demonstrate that the bruises for both of the children must have 
occurred while the Petitioner was caring for them. Unfortunately, the investigators' assumption that 
the bruises most likely originated with the Petitioner caused them to not fully investigate the 
circumstances of the two alleged victim children both before and after they were cared for by the 
Petitioner. Therefore, the existence of the bruises does not, in and of themselves, lead to a 
conclusion of neglect on the part of the Petitioner. 

Although, as the Respondent noted, it seems to be more than a coincidence that two children from 
different homes suffered such similar bruises, it also seems incredible that the Petitioner, who knew 
she was being investigated, would do anything that would result in the same type of bruises appearing 
upon another child in her care. 

The evidence does, however, establish that the second alleged victim child did not have bruises when 
she was taken to the Petitioner's home and that nothing happened to cause bruises between the time 
she was picked up from the Petitioner's and the time the bruises were discovered. Therefore, with 
respect to the second alleged victim child, the evidence indicates that the bruises must have occurred 
while the child was in the Petitioner's care. The fact that the Petitioner does not know how the 
bruises occurred is an indication of neglect on her part. 

4. Based upon the evidence, the undersigned is left to debate how the bruises came to appear on the two 
alleged victim children's buttocks. Because of the lack of affirmative evidence that the Petitioner 
caused the bruises and the Respondent's failure to investigate and eliminate other possible causes of 
the bruises, it is impossible to conclude that the marks on the first alleged victim child could have 
only been the result of neglect on the part of the Petitioner. Thus, the Respondent has failed to 
establish by the greater weight of the evidence that the Petitioner neglected alleged victim child in her 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1836 



CONTESTED CASE DECISIONS 



care on September 10, 1992. 

5. The Petitioner did neglect the child left in her care on October 12, 1992. 

RECOMMENDED DECISION 

The North Carolina Department of Human Resources will make the Final Decision in this contested 
case. It is recommended that agency adopt the Findings of Fact and Conclusions of Law set forth above and 
find that there is sufficient evidence to substantiate neglect on the part of the Petitioner occurred on October 
12, 1992. However, since the evidence fails to establish abuse and only supports one instance of neglect, the 
agency should consider the imposition of some lesser penalty than revocation of the Petitioner's registration 
certificate. 

ORDER 

It is hereby ordered that the agency serve a copy of the Final Decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 27611-7447, in accordance with North Carolina General 
Statutes section 150B-36(b). 

NOTICE 

Before the agency makes the FINAL DECISION, it is required by North Carolina General Statutes 
section 150B-36(a) to give each party an opportunity to file exceptions to this RECOMMENDED DECISION, 
and to present written arguments to those in the agency who will make the final decision. 

The agency is required by North Carolina General Statutes section 150B-36(b)to serve a copy of the 
Final Decision on all parties and to furnish a copy to the Parties' attorney of record. 



This the 29th day of November, 1993. 



Brenda B. Becton 
Administrative Law Judge 



1837 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



STATE OF NORTH CAROLINA 
COUNTY OF MECKLENBURG 



IN THE OFFICE OF 

ADMINISTRATIVE HEARINGS 

93 OSP 0438 



SHAW BOYD 

Petitioner, 

v. 

THE NORTH CAROLINA DEPARTMENT OF 
CORRECTION 

Respondent. 



RECOMMENDED DECISION 



The above-captioned matter was heard by Michael Rivers Morgan, Administrative Law Judge on 
September 7 and 8, 1993 in Charlotte, North Carolina. 

APPEARANCES 

S. Luke Largess, Ferguson, Stein, Wallas, Adkins, Gresham and Sumter, for the Petitioner. 
Neil Dalton, Assistant Attorney General, for the Respondent. 

ISSUES 

1 . Whether the Respondent denied the Petitioner a promotion in his employment because of his race; 

2. Whether the Respondent denied the Petitioner a promotion in his employment because of his age. 

STIPULATED FACTS 

The parties stipulated and agreed to the following undisputed facts in the Prehearing Order filed on 
September 7, 1993: 

a. Shaw Boyd is a Probation/Parole Officer, pay grade 66; and 

b. If Shaw Boyd had been promoted to the position of Intensive Officer, pay grade 68 as a result 
of his December, 1992 interview, he would have received a pay increase. 

FINDINGS OF FACT 

Based upon the evidence admitted at the hearing, the undersigned administrative law judge finds the 
following facts: 

1 . The Petitioner is employed as a Probation/Parole Officer II with the Respondent's Division of Adult 
Probation and Parole, working in Parole Services in Charlotte, North Carolina. 

2. The Petitioner has been employed with the Respondent since February 16, 1976. 

3. The Petitioner is a black male who is 54 years of age. 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1838 



CONTESTED CASE DECISIONS 



4. The job position of Intensive Probation Officer was created within the Respondent by the North 
Carolina General Assembly in 1983. 

5. An Intensive Probation Officer's work duties for the Respondent include primary responsibilities for 
a caseload of probationers parolees, treatment of probationers/parolees and supervision of the 
probation officer for each probationer/parolee. 

6. An Intensive Probation Officer is part of an intensive probation team— composed of one Intensive 
Probation Officer, a Surveillance Officer and one Stenographer III— which provide close supervision 
of people who must do community services, pass employment checks, pass drug tests and be 
searched who otherwise would be incarcerated. 

7. An Intensive Probation Officer is more similar to a probation officer than a parole officer. 

8. An Intensive Probation Officer must have at least five personal contacts, three to five curfew checks 
and one employment check per week with each of the officer's clients. 

9. In order for an individual to be eligible to apply to become an Intensive Probation Officer with the 
Respondent, the individual must have at least three years of experience as a probation/parole officer 
and a college degree. 

10. There is not a promotional examination for Intensive Probation Officer candidates, as the candidates 
are tested on their knowledge through interview questions which are designed to help the interviewers 
to evaluate each candidate's preparation and understanding to become an Intensive Probation Officer. 

1 1. An interview committee directs questions to the applicants for Intensive Probation Officer positions. 

12. In December 1992 an Intensive Probation/Parole Officer position was available to be staffed in the 
Respondent's Branch L. 

13. The Respondent's Branch L is composed of Mecklenburg, Gaston and Union Counties. 

14. When an Intensive Probation Officer position is available in the Respondent's workforce, the 
Respondent's headquarters in Raleigh posts the vacant position, applications for the position are later 
screened in order to ascertain that the Intensive Probation Officer applicant has at least three years 
of experience as a probation/parole officer and a team of interviewers performs interviews on the 
branch level of the job applicants and makes a recommendation of an applicant to staff the Intensive 
Probation Officer position. 

15. Eight individuals submitted applications for the Intensive Probation/Parole Officer position which was 
available in December 1992, including the Petitioner and James M. Honeycutt. 

16. Six job applicants were interviewed for the Intensive Probation/Parole Officer position which was 
available in December 1992, including the Petitioner and James M. Honeycutt. 

17. George Pettigrew is employed with the Respondent as the Manager of Branch L of the Respondent's 
Adult Probation and Parole. 

18. Don Welch is employed with the Respondent as a Unit Supervisor who supervises Intensive 
Probation Officers in Mecklenburg County in the Respondent's Division of Adult Probation and 
Parole. 

19. Pettigrew and Welch comprised the interview team which interviewed applicants for the Intensive 
Probation Officer position which was available in the Respondent in December 1992. 



1839 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



20. Pettigrew has served on a number of job applicant interview teams, including serving as the chair 
of two interview teams for vacant Intensive Probation Officer positions. 

21. Pettigrew has interviewed the Petitioner in job promotional opportunities on several occasions for 
Intensive Probation Officer positions and on one occasion for a Unit Supervisor position. 

22. Welch has served on three or four job applicant interview teams, including Intensive Probation 
Officer job applicant interview teams. 

23. Welch has interviewed the Petitioner on two occasions for Intensive Probation Officer positions. 

24. The Petitioner has seventeen years of experience with the Respondent, working in the areas of both 
probation and parole, and has served as a pretrial release coordinator. 

25. Honeycutt, a white male who was born on February 20, 1964 and therefore was 28 years of age at 
the time of his interview in December 1992 for the job position of Intensive Probation/Parole 
Officer, has three years of experience with the Respondent, working in the area of parole since 
October 1, 1989. 

26. Pettigrew and Welch recommended Honeycutt as their first choice to fill the vacant Intensive 
Probation Officer position for which they conducted interviews in December 1992, stating in a 
memorandum to the Respondent's employee John G. Patseavouras from Pettigrew dated December 
21, 1992 that Honeycutt "has exceeded the expectations in his present job responsibilities and 
possesses the skills and knowledge for this position." 

27. In the December 21, 1992 memorandum from Pettigrew to Patseavouras concerning the 
recommended applicant of Pettigrew and Welch to fill the vacant Intensive Probation Officer 
position, Pettigrew stated that the Petitioner "adequately performs his duties as a parole officer, but 
we definitely do not feel he is ready to move to the position of Intensive Officer." 

28. The recommendation of Pettigrew and Welch that Honeycutt be awarded the vacant Intensive 
Probation Officer position for which Pettigrew and Welch conducted interviews for the job vacancy 
in December 1992 was followed, and Honeycutt was placed in the Intensive Probation Officer 
position. 

29. In their respective evaluations in their Work Planning and Performance Review materials, both the 
Petitioner and Honeycutt received favorable job performance ratings. 

30. In their respective evaluations in their Performance Management System materials, both the 
Petitioner and Honeycutt received "good" and "very good" job performance ratings in specific areas 
of evaluation, with each employee of the Respondent receiving an overall job performance rating of 
"very good." 

31. While the Petitioner received a job performance rating of "outstanding" in some specific areas of 
evaluation in his Performance Management System materials, Honeycutt did not receive a job 
performance rating of "outstanding" in any specific areas of evaluation in his Performance 
Management System materials. 

32. When Pettigrew has served on job applicant review teams for the Respondent, Pettigrew is aware 
of an applicant's job performance but does not review it. 

33. Pettigrew was not aware that the Petitioner had better job performance evaluations than Honeycutt. 

34. Welch did not consider the job performance ratings of any of the applicants for the Intensive 
Probation Officer position for which interviews were conducted in December 1992. 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1840 



CONTESTED CASE DECISIONS 



35. Recordkeeping skills are important in the intensive probation program, because 700 to 800 contacts 
per month must be made and recorded by an Intensive Probation Officer. 

36. Welch considered that the Petitioner would have a problem in keeping up the detailed paperwork 
caseload of an Intensive Probation Officer and that the Petitioner would be inadequate at processing 
paperwork as a supervisor. 

37. Welch is familiar with the Petitioner's job performance based upon Welch's responsibility for the 
Respondent's house arrest program, because some of the Petitioner's clients are on house arrest and 
the Petitioner therefore files reports with Welch. 

38. The Petitioner's filed house arrest reports contained numerous errors, which Welch reported to the 
Petitioner's supervisor. 

39. Most of the Respondent's parole officers commit one or two errors on their reports, and Honeycutt 
did not commit any errors in submitting reports in his eight house arrest cases. 

40. Between October 24, 1992 and September 7, 1993, the Petitioner did not commit any errors in his 
reports. 

41 . An Intensive Probation Officer does not maintain a caseload of more than twenty-five clients. 

42. A Probation/ Parole Officer of the Respondent such as the Petitioner typically maintains a caseload 
of more than one hundred clients. 

43. Pettigrew is familiar with the Petitioner's job performance based upon Pettigrew's supervision of the 
Petitioner when the Petitioner was a probation officer. 

44. When the Petitioner worked with the Respondent under Pettigrew's supervision, Pettigrew considered 
that the Petitioner had difficulty understanding policy regarding client supervision, problems meeting 
paperwork deadlines, problems regarding paperwork which opened cases and problems with 
organization skills. 

45. The Petitioner informed Pettigrew and Welch at the Petitioner's interview in December 1992 for the 
vacant Intensive Probation Officer position that the Petitioner had not prepared for the interview, had 
not talked with any Intensive Probation Officers, had not read the manual concerning the intensive 
probation program and had applied at the end of the application period. 

46. Honeycutt prepared for his job interview in December 1992 for the vacant Intensive Probation 
Officer position by riding with surveillance officers and talking with Intensive Probation Officers for 
several hours in their offices. 

47. Knowledge and understanding of the Respondent's intensive probation program comes from one's 
study of the program's manual and discussions with Intensive Probation officers about their job 
duties. 

48. The Petitioner read the Respondent's intensive probation program manual in order to prepare for a 
job interview for a vacant Intensive Probation Officer position in September 1992 and talked with 
some Intensive Probation Officers in order to prepare for his job interview for the vacant Intensive 
Probation Officer position in December 1992. 

49. The Petitioner was asked the same questions during his job interview for the vacant Intensive 
Probation Officer position in September 1992 that he was asked during his job interview for the 
vacant Intensive Probation Officer position in December 1992. 



1841 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



50. Pettigrew and Welch considered the Petitioner's job interview for the vacant Intensive Probation 
Officer position in December 1992 to be a poor one, determining that the Petitioner didn't answer 
questions well due to "rambling" responses, that the Petitioner did not understand Intensive Probation 
Officer policy, that the Petitioner had to be prodded to give his answers to interview questions 
whereas other applicants were not and that there were some interview questions which the Petitioner 
did not answer at all. 

51 . Honeycutt was recommended for the vacant Intensive Probation Officer position in December 1992, 
based upon his preparation for the job interview. 

52. In not ever having done any work in the area of probation except for a six-month college internship, 
Honeycutt had not done the type of work which was most relevant to the duties of an Intensive 
Probation Officer. 

53. Pettigrew did not consider the length of work service of any applicant for the vacant Intensive 
Probation Officer position in December 1992, including the fact that Honeycutt's length of work 
service was two months beyond the minimum length of service for qualification to become an 
Intensive Probation Officer. 

54. Welch considers that the Petitioner would be a good counselor with an intensive probation caseload. 

55. Welch considers that the Petitioner is capable of doing all of the job requirements of an Intensive 
Probation Officer which distinguish it from the position of Probation/Parole Officer. 

56. In making their recommendations of applicants concerning the job vacancy of Intensive Probation 
Officer in December 1992, Pettigrew and Welch determined that the Probation/Parole Officers 
Barbara Stroupe and Steve Pate were their second and third choices, respectively, after Honeycutt 
to be placed in the position. 

57. Stroupe is approximately 25 years of age and Pate is approximately 34 years of age. 

58. In September 1992 an Intensive Probation/Parole Officer position was available to be staffed in the 
Respondent's Branch L. 

59. Five job applicants were interviewed for the Intensive Probation/Parole Officer position by Pettigrew 
and Welch which was available in September 1992, including the Petitioner and Dallas Frank 
McMillan, Jr. 

60. McMillan, a white male who was born on July 26, 1965 and therefore was 27 years of age at the 
time of his interview in September 1992 for the job position of Intensive Probation/Parole Officer, 
had 4 1/2 years of experience with the Respondent, working in the Respondent's Division of Adult 
Probation and Parole since May 13, 1988. 

61. Pettigrew and Welch recommended McMillan as their first choice to fill the vacant Intensive 
Probation Officer position for which they conducted interviews in September 1992, stating in a 
memorandum to the Respondent's employee John G. Patseavouras from Pettigrew dated September 
9, 1992 that McMillan "has exceeded expectation in his present job and possesses the skills and 
knowledge for this position." 

62. In the September 9, 1992 memorandum from Pettigrew to Patseavouras concerning the recommended 
applicant of Pettigrew and Welch to fill the vacant Intensive Probation Officer position, Pettigrew 
stated that the Petitioner "adequately performs his duties as a parole officer, but we definitely do not 
feel he is ready to move to the position of Intensive Officer." 

63. The recommendation of Pettigrew and Welch that McMillan be awarded the vacant Intensive 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1842 



CONTESTED CASE DECISIONS 



Probation Officer position for which Pettigrew and Welch conducted interviews for the job vacancy 
in September 1992 was followed, and McMillan was placed in the Intensive Probation Officer 
position. 

64. The Petitioner apologized to the job applicant interview team which conducted interviews in 
September 1992 for the vacant Intensive Probation Officer position after the Petitioner's inadequate 
preparation and poor performance in his interview. 

65. In making their recommendation of applicants concerning the job vacancy of Intensive Probation 
Officer in September 1992, Pettigrew and Welch determined that Pate was their second choice. 

CONCLUSIONS OF LAW 

1. North Carolina General Statutes Section 126-16 states, in pertinent part, that all State departments 
and agencies shall give equal opportunity for employment and compensation, without regard to race 
and age, to all persons otherwise qualified. This section with respect to age shall be limited to 
individuals who are at least 40 years of age. 

2. The Petitioner, who is 54 years of age and therefore over the age of 40 years, is entitled to the equal 
opportunity protection afforded by N.C.G.S. §126-16 regarding age. 

3. N.C.G.S. §126-36 states, in pertinent part, that any State employee who has reason to believe that 
promotion was denied him because of his age or race shall have the right to appeal directly to the 
State Personnel Commission. 

4. The United States Supreme Court case of McDonnell Douglas Corporation v. Green , 41 1 U.S. 792, 
93 S.Ct. 817, 36 L.Ed. 2d 688 (1973) establishes that in a discrimination case, the charging party 
must establish a prima facie case of discrimination by providing sufficient facts in order to raise an 
inference of discrimination. The responding party then must rebut this inference by presenting 
evidence that the basis for its action was a legitimate, nondiscriminatory reason. The charging party 
then has the opportunity to provide evidence that the responding party's reasons for its actions are 
pretextual . 

5. The Petitioner, as the charging party in this contested case, has established a prima facie case of age 
discrimination by providing sufficient facts in order to raise an inference of discrimination, showing 
that the Petitioner is over 40 years of age, that the Petitioner applied for a vacant Intensive 
Probation/Parole Officer position which was available in December 1992, that a person who was 28 
years of age was the successful applicant for the vacant Intensive Probation/Parole Officer position, 
that unsuccessful job applicants for the vacant Intensive Probation/Parole Officer position in 
December 1992 other than the Petitioner who are both under the age of 40 years were designated 
as the second and third choices to fill the vacant position, that the Petitioner had previously applied 
for a vacant Intensive Probation/Parole Officer position which was available in September 1992, that 
a person who was 27 years of age was the successful applicant for the vacant Intensive Proba- 
tion/Parole Officer position and that an unsuccessful job applicant for the vacant Intensive 
Probation/Parole Officer position in September 1992 other than the Petitioner who was under the age 
of 40 years was designated as the second choice to fill the vacant position. 

6. The Respondent, as the responding party, has rebutted the inference of age discrimination by 
presenting evidence that the bases for its action regarding the Petitioner's job promotional attempts 
were legitimate and nondiscriminatory, showing that the successful job applicants for the Intensive 
Probation/Parole Officer positions who were under the age of 40 years had exceeded expectations 
in their respective job responsibilities and were qualified for the Intensive Probation Officer position, 
that the Petitioner has made numerous errors in his filed work reports, that the Petitioner would have 
problems with a voluminous amount of paperwork as an Intensive Probation Officer and that the 
Petitioner did not perform well in his interviews for the vacant Intensive Probation/Parole Officer 



1843 8:18 NORTH CAROLINA REGISTER December 15, 1993 



CONTESTED CASE DECISIONS 



positions. 

7. The Petitioner has provided evidence that the Respondent's reasons for its actions are pretextual, 
showing that (a) the Petitioner's job performance ratings had also exceeded expectations as illustrated 
in his evaluations and that the Petitioner's job performance ratings in specific areas of evaluation 
were higher than the successful applicant for the vacant Intensive Probation/Parole Officer position 
which was available in September 1992; (b) the Petitioner had not committed any errors in his 
reports between October 24, 1992 and September 7, 1993; (c) the Petitioner routinely handled the 
paperwork for a caseload of clients which typically exceeds one hundred in number; and (d) the 
Respondent placed undue weight on the performance of job applicants in interviews conducted by 
job applicant interview teams in relation to other relevant criteria such as job performance ratings 
and longevity of work service, both of which were given little to no weight by the Respondent's job 
applicant interview team members George Pettigrew and Don Welch. 

8. Title 25, Chapter ID, Rule .0301 of the North Carolina Administrative Code establishes that in job 
promotional situations, selection should be based upon demonstrated capacity, quality and length of 
service. 

9. 25 NCAC II .0703 states, in pertinent part, that decisions relating to promotions should be based 
on the overall performance and potential of the employee, and evaluation shall be systematic and 
objective. 

10. The Respondent utilized a procedure in staffing its vacant Intensive Probation/Parole Officer position 
in December 1992 for which the Petitioner applied which did not properly evaluate the Petitioner's 
demonstrated capacity, quality and length of service amounting to seventeen years with the 
Respondent with recent high job performance ratings, and improperly gave little or no weight to such 
systematic and objective criteria in favor of unduly weighting a single job interview to determine the 
successful applicant for the Intensive Probation Officer position. 

1 1 . The Respondent denied the Petitioner a promotion in his employment to the position of Intensive 
Probation/Parole Officer, which was available in December 1992, because of his age. 

RECOMMENDATION 

It is recommended that the Petitioner be promoted within the Respondent's workforce to the position 
of Intensive Probation/Parole Officer, or a position of similar responsibility and salary. It is further 
recommended that the Petitioner be awarded: (1) the difference between the Petitioner's salary and the 
Petitioner's salary which he would have received as an Intensive Probation/Parole Officer, authorized as back 
pay in 25 NCAC IB .0421 to commence from the time that the Petitioner would have begun his job 
responsibilities in the Intensive Probation/Parole Officer position which was available in December 1992; (2) 
the difference between the Petitioner's salary and the Petitioner's salary which he would receive as an 
Intensive Probation/Farole Officer, authorized as front pay in 25 NCAC IB .0422; and (3) reasonable 
attorney's fees, authorized in 25 NCAC IB .0414(3). In light of the disposition of the age discrimination 
issue, the undersigned does not reach the racial discrimination issue. 

ORDER 

It is hereby ordered that the agency serve a copy of the final decision on the Office of Administrative 
Hearings, P.O. Drawer 27447, Raleigh, N.C. 2761 1-7447, in accordance, with North Carolina General Statute 
150B-36(b). 

NOTICE 

The agency making the final decision in this contested case is required to give each party an 
opportunity to file exceptions to this recommended decision and to present written arguments to those in the 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1844 



CONTESTED CASE DECISIONS 



agency who will make the final decision. G.S. 150B-36(a). 

The agency is required by G.S. 150B-36(b) to serve a copy of the final decision on all parties and to 
furnish a copy to the parties' attorney of record and to the Office of Administrative Hearings . 1 

The agency that will make the final decision in this contested case is the North Carolina State 
Personnel Commission. 

This the 12th day of November, 1993. 



Michael Rivers Morgan 
Administrative Law Judge 



< 



1845 8:18 NORTH CAROLINA REGISTER December 15, 1993 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, 
titles and chapters, are mandatory. The major subdivision of the NCAC is the title. Each major 
department in the North Carolina executive branch of government has been assigned a title number. 
Titles are further broken down into chapters which shall be numerical in order. The other two, 
subchapters and sections are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 


14A 


Crime Control & Public Safety 


Geologists 


21 


15A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


16 


Public Education 


Landscape Contractors 


28 


17 


Revenue 


Marital and Family Therapy 


31 


18 


Secretary of State 


Medical Examiners 


32 


19A 


Transportation 


Midwifery Jomt Committee 


33 


20 


Treasurer 


Mortuary Science 


34 


*21 


Occupational Licensing Boards 


Nursing 


36 


22 


Administrative Procedures 


Nursing Home Administrators 


37 


23 


Community Colleges 


Occupational Therapists 


38 


24 


Independent Agencies 


Opticians 


40 


25 


State Personnel 


Optometry 


42 


26 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 






Pharmacy 


46 






Physical Therapy Examiners 


48 






Plumbing. Heatmg & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Practicing Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Speech & Language Pathologists & Audiologists 


64 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



1846 



CUMULATIVE INDEX 



CUMULATIVE INDEX 

(April 1993 - March 1994) 



Pages 



Issue 



1 92 1 April 

93 - 228 2 - April 

229 - 331 3 - May 

332 - 400 4 - May 

401 - 455 5 - June 

456 - 502 6 - June 

503 - 640 7 - July 

641 - 708 8 - July 

709 - 792 9 - August 

793 - 875 10 - August 

876 - 1006 1 1 September 

1007 - 1 184 12 September 

1 1 85 - 1 307 13 October 

1308 - 1367 14 - October 

1368 - 1512 15 November 

1513 - 1568 16 - November 

1569 - 1719 17 - December 

1720 - 1849 18 - December 



Unless otherwise identified, page references in this Index are to proposed 



rules. 



ADMINISTRATION 

Administration's Minimum Criteria, 5 

Auxiliary Services, 1724 

Low-Level Radioactive Waste Management Authority, 232 

State Employees Combined Campaign, 1008 

ADMINISTRATIVE HEARINGS 

Civil Rights Division, 370 
General, 366 
Hearings Division, 1480 
Rules Division, 367 



AGRICULTURE 

Aquaculture, 1212 
N.C. State Fair, 506 
Plant Industry, 513, 1212 
Standards Division, 1212 
Veterinary Division, 515, 



212 



COMMERCE 

Alcoholic Beverage Control Commission, 408, 711, 1310 

Banking Commission, 408, 798, 1312 

Cemetery Commission, 810 

Credit Union Division. 1724 

Savings Institutions Division: Savings Institutions Commission, 461 

State Ports Authority. 811, 1570 



i 



1847 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



CUMULATIVE INDEX 



COMMUNITY COLLEGES 

Community Colleges, 1527 

ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

Coastal Management, 279, 571, 962, 1405 

Comprehensive Conservation and Management Plan, 882 

Departmental Rules, 465 

Environmental Management, 210, 556, 658, 797, 893, 1254, 1748 

Health Services, 283, 335, 425, 465, 572, 709, 762, 966, 1098, 1417, 1663, 1782 

Marine Fisheries, 28, 568, 1573 

Mining: Mineral Resources, 829 

NPDES Permit, 710 

Radiation Protection, 1662 

Soil and Water Conservation Commission, 214, 1322 

Vital Records, 1525 

Wildlife Resources Commission, 32. 663, 831, 965, 1255, 1409, 1613, 1723, 1773 

Zoological Park, 337 

FEVAL DECISION LETTERS 

Voting Rights Act, 4, 407, 460, 795, 880, 1371, 1514, 1569, 1722 

GENERAL STATUTES 

Chapter 7A, 1185 
Chapter 150B, 1187 

GOVERNOR/LT. GOVERNOR 

Executive Orders, 1, 93, 229, 332, 401, 456, 641, 793, 876, 1007, 1209, 1308, 1368, 1513, 1720 

HUMAN RESOURCES 

Aging. Division of, 815, 1372 

Blind, Services for the, 884 

Deaf and Hard of Hearing, Services for the, 650 

Facility Services, 94, 883, 1014, 1215, 1312, 1519, 1725 

Medical Assistance, 25, 414, 553, 712, 888, 1316, 1742 

Medical Care Commission, 644, 1312 

Mental Health, Developmental Disabilities and Substance Abuse Services, 7, 413, 516, 1086, 1217 

Social Services Commission, 237. 733, 1091, 1376. 1743 

INSURANCE 

Actuarial Services, 555, 657, 1249, 1321, 1403 
Agent Services Division, 1399 
Engineering and Building Codes Division, 1248 
Financial Evaluation Division, 1093, 1317 
Life and Health Division, 1094, 1318, 1400 
Medical Database Commission, 463, 737 
Property and Casualty Division, 1400 
Special Services Division, 1096 

JUSTICE 

Alarm Systems Licensing Board, 761 

Attorney General, Office of the, 28 

Criminal Justice Education and Training Standards Commission, 253 

Criminal Justice Standards Division, 241 

Departmental Rules, 1096 

Private Protective Services Board, 252, 890 



8:18 NORTH CAROLINA REGISTER December 15, 1993 1848 



CUMULATIVE INDEX 



Sheriffs' Education and Training Standards Commission, 738 

LABOR 

OSHA, 97, 231. 278, 892. 1523. 1744 

LICENSING BOARDS 

Architecture. 43 

Certified Public Accountant Examiners. 1418 

Chiropractic Examiners, 1806 

Cosmetic Art Examiners, 969. 1526 

Dental Examiners. State Board of, 763 

Electrolysis Examiners, Board of, 841, 1457 

Foresters. Registration for. 674 

Geologists. Board of, 285 

Landscape Architects, 1256 

Medical Examiners. Board of. 591. 1458. 1685 

Mortuary Science. Board of. 45. 342. 971. 1461 

Nursing. Board of, 1463 

Nursing Home Administrators, 346 

Occupational Therapy. 1469 

Opticians. Board of. 1261 

Pharmacy. Board of, 47. 354, 1326 

Physical Therapy Examiners. 53, 767 

Plumbing. Heating and Fire Sprinkler Contractors. 360 

Practicing Psychologists. Board of. 844. 1807 

Real Estate Commission. 53, 364 

Refrigeration Examiners, 1148, 1526 

Social Work. Certification Board for. 428. 1808 

Therapeutic Recreation Certification Board, 1328 

LIST OF RULES CODIFIED 

List of Rules Codified. 61. 290. 432. 593, 769, 845. 1264, 1535. 1687 

PUBLIC EDUCATION 

Elementary and Secondary Education. 427, 470 

SECRETARY OF STATE 

Land Records Management Division. 1792 

STATE PERSONNEL 

Office of State Personnel. 286. 972. 1262, 1472 

STATE TREASURER 

Local Government Commission, 1795 
Retirement Systems. 337. 1146 

TAX RE\TEW BOARD 

Orders of Tax Review. 503. 1516 

TRANSPORTATION 

Highways. Division of. 669. 836 
Motor Vehicles. Division of. 1145 



1849 



8:18 



NORTH CAROLINA REGISTER 



December 15, 1993 



NORTH CAROLINA ADMINISTRATIVE CODE 



The full publication consists of 53 volumes, totaling in excess of 1 5 ,000 pages. It is supplemented monthly 
with replacement pages. A one year subscription to the full publication including supplements can be 
purchased for seven hundred and fifty dollars ($750.00). Individual volumes may also be purchased with 
supplement service. Renewal subscriptions for supplements to the initial publication are available at 
one-half the new subscription price. 



PRICE LIST FOR THE SUBSCRIPTION YEAR 



Volume 


Title 


Chapter 


Subject 


New Total 
Subscription* Quantity Price 


1 -53 


Full Code 
1 

2 

2 

3 

4 

4 

5 

5 

6 

7 

8 

9 
10 
10 
10 

10 

10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 
10 

11 

12 
13 
13 
13 
14A 

15A 
15A 
15A 
15A 
15A 

)9/93 


1 - 38 
1 - 24 
25 - 52 
1 -4 
1 - 2 
3 - 20 
1 - 2 

3 - 4 
1 - 4 

1 - 12 
1 - 9 
1 - 4 

I - 2 
3A - 3K 
3L - 3R 

3S - 3W 

4 - 6 
7 

8 - 9 
10 

II - 14 
15 - 17 
18 

19 - 30 

31 - 33 

34 - 41 

42 

43 - 51 

1 - 19 

1 - 12 

1 - 6 

7 

8 - 16 

1 - 11 

1 - 2 
3 - 6 
7 

8 - 9 
10 


All titles 
Administration 
Agriculture 
Agriculture 
Auditor 

ECD (includes ABC) 
ECD 

Correction 
Correction 
Council of State 
Cultural Resources 
Elections 

Governor/Lt. Governoi 
Human Resources 
Human Resources 
Human Resources 
(includes CON) 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Human Resources 
Insurance 
Justice 
Labor 
OSHA 
Labor 

Crime Control and 
Public Safety 
EHNR (includes EMC 
EHNR 

Coastal Management 
EHNR 
Wildlife 


$750.00 




1 


90.00 




2 


75.00 




3 


75.00 




4 


10.00 




5 


45.00 




6 


90.00 




7 


60.00 




8 


30.00 




9 


60.00 




10 


10.00 




11 


r 45.00 




12 


30.00 




13 


90.00 




14 


45.00 




15 


30.00 




16 


30.00 




17 


30.00 




18 


30.00 




19 


30.00 




20 


60.00 




21 


45.00 




22 


75.00 




23 


90.00 




24 


30.00 




25 


60.00 




26 


45.00 




27 


90.00 




28 


90.00 




29 


90.00 




30 


30.00 




31 


45.00 




32 


45.00 




33 


45.00 




34 


) 90.00 




35 


45.00 




36 


45.00 




37 


30.00 




38 


45.00 




REVISED ( 




Continued 



Volume 



Title 



Chapter Subject 



New 
Subscription* 



Quantity 



Total 
Price 



39 


15A 


11 - 18 


40 


15A 


19 - 26 


41 


16 


1 - 6 


4: 


17 


1 - 6 


43 


17 


7 - 11 


44 


18 


1 - 8 


45 


19A 


1 - 6 


46 


20 


1 - 9 


47 


21 


1 - 16 


4S 


21 


17 - 37 


4^) 


21 


38 - 70 




22 


1 - 2 


50 


23 


1 - 3 


51 


24 


1 - 3 


52 


25 




53 


26 


1 - 4 



EHNR 90.00 
EHNR 

(includes Breathalizer) 75.00 

Education 30.00 

Revenue 75.00 

Revenue 60.00 

Secretary of State 30.00 

Transportation 90.00 

Treasurer 45.00 

Licensing Boards 75.00 

Licensing Boards 75.00 
Licensing Boards 
Administrative Procedures75.00 

Community Colleges 10.00 

Independent Agencies 10.00 

State Personnel 60.00 

Administrative Hearings 10.00 



Subtotal 
(North Carolina subscribers add 6% sales tax) 

Total 



(Make checks payable to Office of Administrative Hearings.) 



This price includes the title in its current form plus supplementation for the subscription year. 



.MAIL TO: 



OFFICE OF ADMINISTRATIVE HEARINGS 

POST OFFICE DRAWER 27447 
RALEIGH. NORTH CAROLINA 27611-7447 



REVISED 09/93 



> 



3H3H 
dWVIS 
HDVld 



>" 



LttLrU9LZ buiioje3 quo^ 'qSisiBH 

Z.ttZ.2 Js^bjq O d 

SSUIJBDH 3A|lBJJSIUIUipV JO 331JJO 



FOLD HERE 



> 



NORTH CAROLINA REGISTER 
ORDER FORM 



□ Please enter my subscription for the North Carolina Register to start with the issue 

($105.00)/year subscription) (N.C. Subscribers please add sales tax.) 

□ Renew North Carolina Register 

□ Check Enclosed □ Please bill me 

Please make checks payable to Office of Administrative Hearings 

NAME ADDRESS 

CITY STATE ZIP 

PHONE 



(Return to Office of Administrative Hearings - fold at line, staple at bottom and affix postage.) 



CHANGE OF ADDRESS: 



1. Present Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



2. New Address 



NAME 



ADDRESS 



CITY 



STATE 



ZIP 



Office of Administrative Hearings 

P. O. Drawer 27447 

Raleigh, North Carolina 27611-7447 






k( : ■. 







FIRST CLASS MAIL 



5B5 
UNIU. OF NORTH CAROLINA 
LAU LIBRARY CBtt 3385 
m HECKE-UETTACH 064-A 
CHAPEL HILL 



KC 27599